In response to an SEC request for comment on its semiannual regulatory agenda, the Council of Institutional Investors urged the SEC to prioritize compensation clawbacks, insider trading rules, and the proxy process.
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A Romania-based bank and its U.S. parent company settled potential civil liability with OFAC for alleged violations of Iranian and Syrian sanctions regulations.
The SEC issued a request for information and comment on the use of digital engagement practices by broker-dealers and investment advisers.
The FDIC, the Federal Reserve Board and the OCC provided a due diligence guide to aid community banks with their risk assessments of FinTech companies.
The Chief Economist for the MSRB analyzed the effect of electronic trading technology by comparing trading activity on alternative trading systems with broker's broker platforms.