Back-office snafu meant clients didn't get discounts on standard fees
Company allegedly facilitated in washing over US$1 billion in criminal proceeds
New rules aim to improve transparency, investor protection in private fund market
New rule sharply narrows prop traders' SRO exemption
Former OpenSea product manager sanctioned for scheme
Nomura Securities agrees to trading misconduct penalties in non-prosecution agreement
Policymakers seek to ensure CCP readiness to handle loss events
Proposal would allow enforcement money to be used for IT projects and new innovation office
Long-time SRO employee tapped to head division
Robo-advisor violated rules when touting hypothetical performance