CFTC spells out path to co-operation credit
Employees at derivatives-trading firms and related organizations have been given formal insight into how they can help things go...
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Regulatory & compliance archive
The week in GRC: Wave of enforcements closed pre-Trump, more women in line to be CEOs, and more
– BlackRock is urging UK companies – the majority of which are preparing pay policies for a binding vote for the first time in the...
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The week in GRC: GOP bills take aim at regulators, SEC releases exam priorities, and more
- The Financial Times reported that some of the world’s largest banks will spend more than $200 million each to implement new...
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Brokerages face tougher recidivist scrutiny and remote exams
Broker-dealers can expect to face ramped-up regulatory focus in 2017 on how they handle employees with disciplinary histories –...
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General Cable settles FCPA allegations
Highland Heights, Kentucky-based General Cable Corporation has agreed to pay a total of more than $75 million to settle SEC and US...
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Citadel: Tick size pilot risks trading secrets
Regulators have failed to calm market maker Citadel Securities’ concerns that a program to test the impact of wider stock-pricing...
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Morgan Stanley settles customer protection rule case
Morgan Stanley has agreed to pay a $2.75 million penalty to settle allegations that it had compliance lapses that led to it...
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Dealer group seeks Form ADV revamp
The Bond Dealers of America (BDA) wants a key regulatory filing to play a more effective role as matchmaker between broker-dealers...
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Attorney: Boards have clearer choices on probe cooperation
Ronald Zdrojeski A new prosecutorial policy and a court ruling have made clearer to companies and their boards the value of...
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NeuStar alleged to have violated whistleblower protection rule
Marketing technology company NeuStar has agreed to pay a $180,000 fine after the SEC accused it of having agreements with...
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