Regulator to continue investigation of former mutual fund rep suspected of unregistered trading
Compensating whistleblowers does not improve the quality of tips coming in, according to British regulators
Salman Partners and Woodstone Capital to create diversified dealer
CFTC alleges securities firm filed inaccurate trading reports
Penalties imposed on Bendix, Altaif for violations of anti-money laundering rules
Seidt stresses the importance of maintaining the integrity of CRD data
Exemptions not available, regulator says
European financial institutions a notable exception
Four agencies have qualified as Canadian-domiciled central counterparties