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FINRA disciplinary action update #39
Disciplinary decisions issued November 17 – 23, 2023.
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FINRA moves to harmonize rules for investment performance data
A targeted exception attempts to improve clarity and reduce regulatory friction and confusion without diluting investor protection.
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FINRA disciplinary action update #38
Disciplinary decisions issued November 10 – 16, 2023.
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Deloitte fined $1.59m after auditors adjust clocks
The firm’s systems were manually overridden by staff to change working paper sign-off dates in breach of rules.
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FINRA disciplinary action update #37
Disciplinary decisions issued November 3 – 9, 2023.
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CFTC publishes enforcement results for 2023
The breakdown of cases demonstrates a focus on digital assets and consumer protection.
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FINRA disciplinary action update #36
Disciplinary decisions issued October 27 – November 2, 2023.
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FCA fires warning shot over market soundings and insider trading
The UK FCA’s Market Watch 75 has published observations on market soundings, voicing concern about potential insider trading.