Regulation

Top securities regulator CEO heads to FCA

July 8, 2022 James Langton
London bridge aerial view from the porthole stock photo

Former rep’s side hustles end in SRO sanctions

July 7, 2022 James Langton

Regulatory reform, innovation top IAP agenda

July 7, 2022 James Langton
Protection people health and insurance concept. Hand shield protect wooden human on table

Reps faced heavier IIROC sanctions in fiscal 2022

July 7, 2022 James Langton
up and down arrows

Global regulators publish cryptoasset roadmap

July 7, 2022 James Langton

Tribunal favours public proceedings in Bridging case

July 6, 2022 James Langton

Deal to save PACE goes ahead

July 6, 2022 James Langton

CFTC sanctions financial institutions for swap reporting violations

July 6, 2022 James Langton
Entrance to the U.S. Commodity Futures Trading Commission (CFTC) on their headquarters building in Washington; CFTC is an agency of the US government.

Clearing firms pass ESMA stress test

July 5, 2022 James Langton
European Union headquarters

U.K. regulator seeks equity trading reforms

July 5, 2022 James Langton

MFDA panel hands down permanent ban, $1.7-million fine

July 4, 2022 James Langton

Closet indexing class action fails

July 4, 2022 James Langton