FINRA settles UIT supervisory charges with Oppenheimer for $4.6 million
Oppenheimer & Co Inc settled charges with the Financial Industry Regulatory Authority over alleged failure to supervise brokers who earned large fees by actively trading Unit Investment Trusts for...
View ArticleHong Kong SFC fines Fidelity unit over unlicensed trading
Hong Kong's securities regulator has fined a local unit of Fidelity over the trading of futures contracts without a licence for more than 10 years. The Securities and Futures Commission (SFC) said it...
View ArticleSanctions bar hurry-up work on Russian pipeline - U.S. officials
Any companies that rush to finish building a Russian natural gas export pipeline to Germany that came under U.S. sanctions this month risk being penalized, senior U.S. officials said on Sunday....
View ArticleMore investors sue Danske Bank for alleged money laundering
About 60 investors have sued Danske Bank for 1.5 billion crowns ($224 million) over alleged money laundering, their lawyers said on Friday, the third such case to hit Denmark's biggest lender. Danske...
View ArticleFacebook's Libra has failed in current form - Swiss president
Facebook's Libra project has failed in its current form and needs reworking to be approved, said the president of Switzerland where the cryptocurrency is seeking regulatory consent. "I don't think...
View ArticleRobinhood case shows online brokers have U.S. wiggle room on execution, not...
Robinhood Financial has made no secret that it haggled with dealers to deliver free trades for customers, sometimes at the cost of the lowest possible price but always up to the “quality” required by...
View ArticleCalifornia to toughen group discounts regulations in auto insurance
The California Department of Insurance on Monday proposed to reform how insurers offer group discounts based on occupation, education, and other factors, contending some the insurers' programs...
View ArticleCredit Suisse admits surveillance of second executive
Credit Suisse on Monday admitted it was behind instructions to carry out surveillance on a second executive, after dismissing a previous similar incident as an "isolated event". Switzerland's...
View ArticleSEC probes at least two trading firms -- Citadel, GTS -- over NYSE listing
The U.S. securities regulator has asked at least two trading firms for information regarding a broad investigation into initial public offerings and direct listings going back five years on the New...
View ArticleEXCLUSIVE: White House expected to nominate SEC lawyer for Democratic...
The White House is expected to nominate Caroline Crenshaw, a Democratic attorney at the U.S. Securities and Exchange Commission, to fill an SEC seat being vacated next year by Democratic Commissioner...
View ArticleCOLUMN: U.S. retirement legislation with annuity, 401(k) provisions passes...
U.S. lawmakers have advanced the first significant retirement legislation in 13 years, with provisions that would make it easier for employers to offer annuities in retirement plan and for small...
View ArticleSenior U.S. lawmaker to seek testimony of Wells Fargo's board
Wells Fargo's board of directors will be called to testify before Congress about the bank's numerous scandals sometime in 2020, a senior U.S. House lawmaker told Reuters Thursday. Representative Maxine...
View ArticleTribunal upholds ban on Deutsche Bank's ex-compliance head in Dubai,...
A financial markets tribunal has affirmed a decision by the Dubai Financial Services Authority (DFSA) to fine a former head of compliance at Deutsche Bank and ban her from financial services in or from...
View ArticleSignificant money laundering risks in Turkey, says FATF report
Turkey's banking, money and value transfer services pose significant money laundering risks, says the Financial Act Task Force in a recent report on Turkey. 'Anti-money laundering and counter-terrorist...
View ArticleFacebook's Libra lacks solid plan for launch- governing board member
Facebook's Libra project has no solid plan yet for how or where it will be launched next year, a member of the board that will oversee the cryptocurrency told Reuters on Thursday. The scope of Libra's...
View ArticleU.S. SEC proposes allowing more investors access to private companies
The U.S. Securities and Exchange Commission on Wednesday proposed changes to its decades-old definition of a professional investor in order to allow more Americans to buy shares in private companies....
View ArticleCanada's SNC-Lavalin settles Libya bribery case that shook Trudeau government
A division of SNC-Lavalin Group Inc SNC.TO pleaded guilty to fraud and will pay a C$280 million fine, the company said on Wednesday, in a case related to projects in Libya that engulfed Canadian Prime...
View ArticleU.S. SEC charges former Palo Alto Networks IT administrator, others with...
U.S. authorities on Tuesday said they have charged a former IT administrator and four friends involved in a years-long insider trading ring, in which they used confidential information about a Silicon...
View ArticleGlobal regulator ratchets up pressure on banks and markets to ditch Libor
Pressure on banks and financial markets to ditch the tarnished Libor interest rate by the end of 2021 will increase next year as a global watchdog scrutinises progress in switching to new pricing...
View ArticleINTERVIEW: Banks have key role, opportunities in climate change...
The world financial sector has begun to see significant opportunities in supporting the transition from a carbon-based economy, and in recent years there is clear evidence of their increased engagement...
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