Compliance

News

Review finds crypto firms sloppy with KYC too

December 10, 2024 James Langton
Crypto money
News

U.S. brokerage failed to guard against reps’ theft

December 10, 2024 James Langton
Judge looks at papers
News

FSB details resolution planning progress

December 5, 2024 James Langton
hospital
News

Regulators rule out discretionary AI trading, for now

December 5, 2024 James Langton
AI computer
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Bridging investors’ recovery ruling delayed to 2025

December 5, 2024 James Langton
Hand stopping dominos
News

CFTC boasts of record year for enforcement

December 5, 2024 James Langton
Man reads legal document carefully using magnifying glass
News

After attack on Hiroshima client, Nomura tightens controls

December 3, 2024 James Langton
News

ASIC reports on industry complaint handling

December 3, 2024 James Langton
The Australian Coat of Arms in metal hangs on the glass wall of a building that reflects another high-rise across the street.
News

Ex-fund rep fined, banned over theft

December 2, 2024 James Langton
MFDA hearing panel finds W.H. Stuart, co-founder violated industry rules
News

The evolution of trading poses regulatory challenges

November 29, 2024 James Langton
News

Former fund rep sanctioned for SRO rule breaches

November 28, 2024 James Langton
whistleblower
News

FCA backs away from enforcement disclosure plans

November 28, 2024 James Langton
Big Ben