The US Securities and Exchange Commission has charged Merrill Lynch, Pierce, Fenner & Smith with misleading customers about the ways in which it handled their orders. The bank has agreed to settle the charges by admitting wrongdoing and paying a hefty penalty.
Why spend your time reading mystery novels this summer, when real-world mysteries are swirling through the global financial system?
Marching in lock-step with the European Union and the International Organisation of Securities Commissions, the Jersey Financial Services Commission is updating its Code of Practice for Investment Business.
According to the US Financial Regulatory Authority, which is planning to to overhaul its registration and disclosure arrangements, new software is going to reduce costs for regulated firms.
Why spend your time reading mystery novels this summer, when real-world mysteries are swirling through the global financial system? ...
Marching in lock-step with the European Union and the International Organisation of Securities Commissions, the Jersey Financial Services Commission is updating its Code of Practice for Investment Business. ...
In this bright and breezy sketch on the subject of know-your-customer controls, we end by discussing a much-lauded solution for all ills: the use of machine code in financial regulation. ...
The Monetary Authority of Singapore has drafted up guidelines in relation to the provision of financial advisory services under the Financial Advisors Act (Cap 110). Financial advisors who operate in Singapore a...
FINMA, the Swiss Financial Market Supervisory Authority, has concluded its enforcement proceedings against Raiffeisen Switzerland in relation to corporate governance issues, having decided that the private bank ...
The US Securities and Exchange Commission has charged Merrill Lynch, Pierce, Fenner & Smith with misleading customers about the ways in which it handled their orders. The bank has agreed to settle the charges b...
The US Securities and Exchange Commission has ordered Merrill to return more than $10.5 million to harmed customers. It must also pay penalties of approximately $5.2 million....
According to the US Financial Regulatory Authority, which is planning to to overhaul its registration and disclosure arrangements, new software is going to reduce costs for regulated firms....
The US Financial Regulatory Authority has barred broker Bruce Martin Zipper of Miami from conducting business for three months and has also expelled his firm, Dakota Securities, from FINRA membership for not sup...
The Financial Services Commission of South Korea wants the Government to amend the Enforcement Decree of the Act on Reporting and Use of Certain Financial Transaction Information in line with standards set forth...