Firms pay US$45 million to settle trade reporting, recordkeeping violations
Earlier decision requiring clearing broker to produce records overturned
AIMA survey finds crypto funds struggle to get basic banking services
ATS operator settles allegations of compliance shortcomings
Regulator's head of enforcement, chair to depart next week
Effort to elevate financial compensation in criminal cases falls flat
SRO proposes mandatory close-out requirements that aim to prevent failed trades, align with U.S. regime
Marex Capital Markets sanctioned in settlement with MX
U.S. authorities allege trade secrets stolen to help start rival firm
Fund investors paid front-end loads, moved into fee-based accounts sooner than expected, regulators alleged