The SEC instituted two related enforcement actions against Nomura Securities International Inc., which has agreed to repay approx...
CN Editor
July 16, 2019
VIRTU SANCTIONED BY SEC
FINRA ORDERS SECURITIES AMERICA TO PAY $2 MILLION IN RESTITUTION TO CUSTOMERS, FINES FIRM $1 MILLION FOR MUTUAL FUND SUPERVISION FAILURES
FCA CENSURES INSTITUTE OF CERTIFIED BOOKKEEPERS FOR FAILINGS IN ANTI-MONEY LAUNDERING SUPERVISION
CIRO SANCTIONS EDWARD JONES (CANADA) FOR SUPERVISORY AND INTERNAL CONTROL FAILURES
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APPLICATION OF UMIR TO THE TRADING ACTIVITY OF AN ACCESS PERSON
CIRO ALLEGES MISAPPROPRIATION AND FAILURE TO COOPERATE BY FORMER TD INVESTMENT SERVICES REP FROM TORONTO, ON
GUIDANCE ON DOUBLE PRINTING