A former employee with a U.K.-based brokerage firm has admitted guilt in connection with a scheme to evade the U.S. Foreign Accou...
CN Editor
November 25, 2019
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
EXEC USED EX-WIFE"S ACCOUNTS FOR INSIDER TRADING: SEC
INVESTOR CLASS-ACTION SETTLEMENT APPROVED
FIRM LOGGED INTO ACCOUNTS TO APPROVE FEES: SEC
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BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS
FORMER BROKER CHARGED IN "FREE RIDER" CASE