Agreement provides clear mechanisms for consultation, co-operation and exchange of information between the two agencies
U.S., UK regulators sign protocol for sharing information on application of IFRS
AML source tool designed to assist broker-dealers
One would limit the use of one-, two- and three-character symbols to those listing markets that traditionally used those symbols
Changes would eliminate waste and duplication in compliance
Exchange failed to enforce compliance with securities laws
Radler to pay US$28.7 million
Firm failed to safeguard nonpublic research information and published fraudulent research, regulator says
Firm to pay US$2 million in civil penalties and fines
Misconduct gave rise to billions of dollars in shareholder losses, regulator says