Both the FCA and SEC are grappling with the effects of the outbreak
Two Wells Fargo firms are paying the SEC US$35 million
The SRO wants to make sure firms’ client reporting is accurate
The SEC has collectively awarded US$387 to 72 people since 2012
After June 30 implementation, FINRA will start reviewing firms' best interest compliance
The SRO says it’s working on aligning its rules with the CFRs
A new report outlines 107 recommendations aimed at reducing the regulatory burden
Greenwich Associates reports that U.S. firms spent US$1 billion on regtech last year
They're joining the Global Financial Innovation Network
A Tax Court judge found the CRA was overzealous in issuing a penalty for late filing