News

ICI Global names Jennifer Choi chief counsel

Mifid II will be a top priority

Jason Bisnoff 15 December, 2017

Deutsche Bank hit with $1.1m fine over pattern of trade reporting problems

FINRA cited hundred of inaccurate or tardy TRACE reports

Peter Rawlings 15 December, 2017

News roundup: FCA warns on Bitcoin; Mifid II price disclosure hits 1% of bonds

Today’s compliance news from around the web

Peter Rawlings 15 December, 2017

Buy-side asks SEC to rein in exchange data fees

Fund firms say exchanges are overcharging them for crucial trading data

Stan Wilson 14 December, 2017

State regs could take up CFPB mantle

A recent leadership battle has ended with the agency on a new course

Jason Bisnoff 14 December, 2017

News roundup: EU negotiators prepare Brexit stance; UK proposes AML regs for bitcoin

Today’s compliance news from around the web

Peter Rawlings 14 December, 2017

Attorney: Waiver of privilege ruling could discourage cooperation

Circuit court ruling runs against regulators’ efforts to advocate cooperation

Jason Bisnoff 13 December, 2017

South Carolina firm fined $100k over excessive trading

Mt. Pleasant-based Liberty Partners Financial Services settled allegations with FINRA

Peter Rawlings 13 December, 2017

SEC censures advisers over F-Squared marketing failings

Regulator fined Ameriprise and two other firms for circulating F-Squared’s misleading hypothetical performance information

Compliance Reporter 12 December, 2017

Former SEC official joins Perkins Coie

Michael Didiuk served in OCIE, DIM, executive staff at the commission

Jason Bisnoff 12 December, 2017




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