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Keyword: Compliance

734 results found
Judgment fine

Firms shortchanged cash sweep clients: SEC

Advisory clients only offered low-paying sweep accounts, regulator alleged

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Quant funds failed to guard models: SEC

Firms breached fiduciary duties by ignoring known vulnerability, regulator alleged

volatility

Global regs seek safer margin calls

Policymakers aim to address issues exposed in March 2020 market stress

Crypto currency

Crypto exchange gets second US$100-million penalty

BitMEX sanctioned in U.S. for anti-money laundering, KYC violations

Business banking

CIRO panel revokes third-party order

Earlier decision requiring clearing broker to produce records overturned

Class action

Liquidnet sanctioned by SEC

ATS operator settles allegations of compliance shortcomings

rules and regulations

CIRO floats short-selling reforms

SRO proposes mandatory close-out requirements that aim to prevent failed trades, align with U.S. regime

stock market data

Broker fined for unauthorized access violations

Marex Capital Markets sanctioned in settlement with MX

consultation discussion

Closing the gap between mutual, seg fund regulation

CCIR, CISRO propose new guidance on the design, distribution of seg funds

fraud

Tribunal sets sanctions in record crypto fraud

Panel orders more than US$50M in disgorgement, plus $5M in penalties and costs