A firm providing execution and routing services to broker-dealers settled FINRA and NYSE Arca charges for failing to establish, document and maintain a supervisory system, and for certification failures regarding the firm's regulatory risk management controls.
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In remarks on a webinar sponsored by Principles for Responsible Investment, SEC Chair Gary Gensler reported that he directed SEC staff to develop a rule proposal on mandatory climate risk disclosure by the end of 2021.
The Market Participants Division of the CFTC granted a CPO conditional no-action relief from the requirement to deliver quarterly account statements to pool participants within a specified timeframe.
The U.S. Senate Committee on Banking, Housing, and Urban Affairs debated the benefits and drawbacks of cryptocurrencies.
IOSCO is seeking feedback on proposed recommendations concerning environmental, social and governance ratings and data providers.