Firm and executive settled charges with SEC, SDNY
Self-regulatory organization proposes new settlement obligation and expanded guidance
Guards against "fat finger" error to face regs’ scrutiny
U.S. banks are set to report brighter investment banking and trading revenue, a report says
Move aims to reduce the burden of printing and mailing disclosures to investors
Research finds disparities arise from differences in labour distribution as well as participation
Foreign-worker flows are a key uncertainty in forecast, Desjardins says
Policy group advises regulator on policy, operations, investor education
Regulators find investment funds, firms exposed to sector's stress
Central bank will need a communications shift to navigate policy pivot, TD says