Disciplinary committee concludes prop trades took advantage of client
Wholesalers allegedly provided reps with valuable tickets
Review highlights importance of managing integration, debt structures
Investors are being pushed to give up added protections, regulator says
Regulator revises capital treatment of crypto, signalling greater change coming
Mobile company employee disclosed data to crypto scammers
Structure could be more widely adopted, allowing efficiency gains
SRO crafting model to allow reps to use personal corporations
U.K. regulator seeks to reduce reporting burden, barrier to short activity
Legislation to regulate ESG ratings finalized, rules coming by year end