- Regulation
- Technology
- Resources
Latest News
- Industry
-
Citi, UBS, BNY and three others fined in CFTC Enforcement Sprint Initiative
Six major banks agreed to pay penalties to resolve compliance violations, most of them receiving maximum cooperation credit.
-
FCA shares findings following UK review of algorithmic trading controls
The FCA’s review is intended to help PTFs comply with existing requirements and does not create any new obligations.
-
ACER’s Q2 2025 REMIT Quarterly: Key takeaways for compliance professionals
Ongoing regulatory scrutiny, new transparency tools, and a continued focus on improving surveillance and reporting standards.
-
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.
-
FINRA fines former CCO at BD firm over surveillance lapses
Two compliance leaders of the global firm allegedly failed to properly supervise the surveillance of securities transactions.
-
ACER highlights improvements needed in energy market surveillance under REMIT
Reports focus on PPATs’ readiness to identify suspicious activities and examine how NRAs analyze STORs.
-
Compliance & Conversation: The culture club
Leading figures from financial services discussed some of the pressing issues of the day including: conduct and culture, AI, recordkeeping and surveillance.
-
OPINION: The perennial issue of collective blind spots and how to avoid them
Collective blind spots on LIBOR and off-channel communications have been pervasive, says Susannah Hammond and considers the lessons learned.