UBS hit with fourth trade reporting penalty

Finra has repeatedly dinged the firm for late Trace reporting

Peter Rawlings 15 October, 2018

NYSE and Nasdaq are battling Sifma over market data fees

Peter Rawlings 16 October, 2018

Platform could be the framework for the Boston behemoth’s own crypto products

Rheaa Rao 16 October, 2018

Platform could be the framework for the Boston behemoth’s own crypto products

Rheaa Rao 16 October, 2018

Firm are increasingly hiring chief risk officers but some prefer other models depending on size and focus

Emily Sakamoto 15 October, 2018

Scott Ferber will work from the firm’s Washington, DC, office

Jason Bisnoff 12 October, 2018

SEC revokes fund voting guidance

It just got harder for mutual fund managers to rely on proxy advisory firms

Peter Rawlings 19 September, 2018

The rising cost of compliance: From dollar costs to lost business

How to analyze the full scope of compliance expenses

Compliance Reporter 1 June, 2018

New know-your-customer AML due diligence rule set for May 11

How to comply with new FinCEN requirements

Compliance Reporter 16 April, 2018

A series of firsts for the regulators

Peter Rawlings 5 October, 2018

Every once in a while an enforcement action is an encouraging signal

Peter Rawlings 26 September, 2018

Bump in the road

Peter Rawlings 11 September, 2018

A big meal

Peter Rawlings 24 August, 2018

The form of a form

Peter Rawlings 10 August, 2018

The form of a form

10 August, 2018

Those who wait

13 July, 2018

Dead and going

28 June, 2018

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