The British government is considering tougher sanctions against those who seriously mismanage banks, including the introduction of a new criminal offence. The UK Treasury said…
Final 2012 statement of priorities includes pledge to implement IAIS core principles
Faced with a growing number of large arbitration cases, U.S. regulators are launching a pilot program that allows adversaries in such cases to customize the…
Firms that fail to complay may face fines, AMF says
Money from sanctions to promote investor protection
Peter Madoff faces 10 years in prison
Proposed rules extend regime for global systemic banks
BVI forex company not registered, regulator says
Banks agree to customer redress for poor sales practices in the sale of interest rate hedging products to SMEs
Investor compensation added to the regulator’s statement of priorities
Reasons given to individuals will now be shared with firms
Propose rule aims to address specific risks that may arise from electronic trading
Guidance is being developed in response to new rules for alternative investment managers
The revised guidance reflects lessons learned from the financial crisis
FSA is proposing a ban on all payments from product providers to platforms
The increase in total settlements is entirely due to the rise in settlements with individuals
Motion by Hampton Securities and Peter Deeb premature, court rules
Firms advised to wait until the SEC’s crowdfunding rules are finalized before offering shares for sale to the public
British bank agrees to pay US$400 million in penalties to U.S. and UK regulators
Fines imposed on high-profile individuals have increased steadily over the past few years
Cease-trade order imposed against Bernadette Brown
Inability of banks to aggregate risk exposures fully and quickly undermines stability
New rules aim to improve the quality and utility of these disclosures
MRAC reviews each proposed amendment to the trading rules before they are submitted to IIROC’s board
Sanctions against Simply Wealth and K&S Global Wealth to be determined later