InfoBytes

Archive: Securities

• Global Bank and U.S. Subsidiaries Fined $246 Million for Deficiencies in Internal Foreign Exchange Trading Controls

  July 20, 2017

• SEC Chairman Outlines Regulatory Agenda

  July 19, 2017

• International Bank Settles RMBS Claims with FHFA for $5.5 Billion

  July 13, 2017

• FINRA Fines Financial Firms $2.4 Million for Improper Customer Records Storage

  July 7, 2017

• CFTC Enters into First-Ever Non-Prosecution Deals in Spoofing Investigation

  June 30, 2017

• NYDFS Fines Global Bank $350 Million for Alleged Foreign Exchange Trading Violations

  June 7, 2017

• DOL Announces No Additional Delay for Fiduciary Rule

  May 26, 2017

• CFTC Announces Initiative for Fintechs

  May 25, 2017

• SEC Reaches Settlement to Resolve Overcharge Claims

  May 17, 2017

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