Compliance exam report documents SRO's emerging and ongoing concerns
Local regulators opened thousands of investigations, handed down millions in sanctions
Tougher standards aim to improve competition and results for customers
Firm, reps charged for selling risky illiquid bonds to retail investors, retirees
ESMA aims to boost protections against emerging risks such as gamification
Best interest rules and fiduciary duties should produce similar outcomes, U.S. regulator says
Majority dismisses appeal, rejects proposed class action
The regulator is consulting on new title guidance until Dec. 13
The regulator's reviews uncovered deficiencies at most firms examined
U.S. firms continue to put their own interests ahead of clients' interests, regulators say