An introducing broker and a broker-dealer settled FINRA charges for share-class recommendations that resulted in their clients paying excess fees on their investments.
News & Insights
85 News Results
Federal Reserve Bank of New York Executive Vice President Simon Potter urged all foreign exchange market participants to adopt the FX Global Code.
A registered futures commission merchant settled CFTC charges for failing to supervise adequately the monitoring of its customers' trading.
FIA submitted a comment letter questioning the value of certain compliance resource information required to be submitted as part of FCM and swap dealer CCO annual reports.
The NFA charged a Singapore-based, CFTC-registered introducing broker and its managing director with failure to maintain records of oral and written transaction communications and related supervisory failures.