Regulatory & compliance archive

Regulators are looking into whether broker-dealers are being persuaded to place clients’ trades with exchanges or other centers...

The Securities Industry and Financial Markets Association (Sifma) has urged the SEC to get projects such as lowering exchange fees...

JPMorgan Securities has agreed to pay a $1.25 million fine and review certain of its systems and procedures to settle allegations...

Hong Kong-based shareholder activist David Webb has warned that proposals issued by the special administrative region’s stock...

– The Wall Street Journal reported that a revamp of General Electric’s (GE) board will remove many long-term associates of former...

The Federal Communications Commission has recruited Thomas Johnson, Jr as general counsel, at a time when it is seeking to remove...

The SEC has given US brokers a 30-month reprieve from having to make tough decisions on complying with the research unbundling...

Compliance with the UK Corporate Governance Code has increased among large companies, but governance and reporting remain patchy...

– Bloomberg reported that Gary Cohn, President Donald Trump’s chief economic adviser, said he sees a major risk evolving in...

Two Wells Fargo brokerage units have agreed to pay roughly $3.4 million in restitution to clients for allegedly making unsuitable...