Review found gaps in controls including data oversight and governance
Regulator alleged that ex-deputy CEO of French fund firm misled its investigation
Compliance division's annual report details exam findings at directly regulated firms
SRO meeting terms of recognition order, three issues flagged by regulators
Scheme exploited trading fee models to collect rebates, SEC alleged
SRO publishes syllabi, practice exams, ahead of shift to new proficiency model
Improving handling of systemic issues aims to prevent delays in compensation, enhance industry certainty
Bank provided services to money launderers, regulator alleged
New anti-money laundering authority highlights risks posed by crypto
Measures cut prospectus requirements, speed IPOs, facilitate retail bond offerings