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Keyword: Compliance

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European regulators call for enforcement action on compliance failures


Bank's treatment of customers in financial difficulty sparks sanction from U.K. regulator

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European regulators make recommendations for revitalizing capital markets

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Exchange failed to immediately report VPN vulnerability exploit

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Changes will raise demands on firms to warn investors about breaches

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U.K. regulators allege an unregistered FX trading scheme was touted on Instagram

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Regulators issue advice to fund managers on ESG terms in fund names


States failed to establish standing to oppose the rule


Firm sanctioned over reporting, registration failures

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Rules were initially crafted to discourage excessive risk taking in the wake of the global financial crisis