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 –...
Read More
Regulatory & compliance archive
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...
Read More
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...
Read More
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...
Read More
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...
Read More
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...
Read More
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...
Read More
SEC expands CIP relief for brokers
Broker-dealers have secured a pre-Christmas compliance boost: more time during which they will be able to use investment advisers...
Read More
SEC faces more senior staff departures
The SEC has announced a series of senior staff departures, with top enforcement, corporate and risk analysis officials heading for...
Read More
Credit Suisse unit fined $16.5 million over AML program
Credit Suisse Securities (USA) (CSSU) has been fined $16.5 million and will have to undertake a compliance review to settle...
Read More
