A broker-dealer settled FINRA charges for suitability violations, and related supervisory failures, as to the sale of non-traditional exchange traded funds and complex options positions to retail investors.

NFA filed with the CFTC proposed amendments to the examination requirement for branch office managers and designated futures principals that engage in swap activities.

In a new report, the European Central Bank highlighted "good practices" for climate and environmental risk management in the banking sector.

An oil company and its founder and former CEO settled SEC charges for disclosure failures in connection with the founder's stock pledges and executive perks.

IOSCO offered a set of recommendations addressing ESG ratings and data product providers.