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Clearing firm fined for surveillance lapses related to potentially manipulative trading
FINRA outlined failure to implement effective supervisory and surveillance practices for trading and business communications recordkeeping.
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PRA publishes updated supervision framework for international banks
A guide to PRA’s final rules and policy on its approach to branch and subsidiary supervision.
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New SEC reports inform public on capital formation and beneficial ownership
Data provided on Regulation A, crowdfunding, and private fund beneficial ownership concentration
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Goldsmith Romero outlines her recommendations for cooperation credit at the CFTC
Commissioner Goldsmith Romero said her agency should make the benefits of cooperation more clear in public documents and specific cases.
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FDA signals unannounced inspections at foreign manufacturing facilities
The FDA noted how foreign companies have been given advanced notice before facility inspections, while American manufacturers have not.
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OPINION: What the FCA’s five-year strategy means in practice
Will Handbook simplification, wordcount reduction and changes toward regulatory automation lead to a smoother supervisory process?
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FIN-FSA reveals rise in investigations submitted to police in 2024
Finland’s Financial Supervisory Authority saw increasing variations of scams during 2024, and issued more penalty payments than before.
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FINRA launches three FINRA Forward initiatives to add efficiency
Initiatives aim to improve the effectiveness and efficiency of supervision.