CIRO alleges a firm failed to adequately supervise the US over-the-counter securities trading by two foreign broker-dealer clients.
OTC
Commodity derivatives were a particular focus in a wide-ranging exchange.
The Berne Agreement breaks new ground in the relationship between financial services in the UK and Switzerland.
Sam Tyfield considers the broader application for multinationals, market structure, technology, digital assets, regulation, and data privacy.
Due diligence urged by multiple agencies to reduce risk of sanctions breaches.
FINRA fine and censure a result of uncorrected OTC reporting and supervisory failures at UBS spanning over a decade.