- Regulation
- Technology
- Resources
Latest News
- Industry
Market Access Rule
-
SEC fines ATS operator over Market Access Rule, Reg ATS violations
The action marks the second time Liquidnet has been fined for weak customer information protections.
-
UK’s MHRA launches consultation on regulation around medical devices
The process will look into four key areas, including UKCA marking, international reliance, In vitro diagnostic (IVD) devices and assimilated EU law.
-
FINRA releases 2024 regulatory oversight report
FINRA’s annual oversight report sets out the findings from compliance reviews and trends it has observed in examinations, plus highlights new risk areas.