A broker-dealer and its former Chief Compliance Officer settled FINRA charges for failing to reasonably establish and maintain an AML program designed to achieve compliance with the Bank Secrecy Act.
News & Insights
21984 News Results
The CFTC Division of Market Oversight extended previously issued no-action relief to non-U.S. swap dealers from certain swap data reporting requirements.
A broker-dealer settled NYSE Arca, Inc. charges for executing options orders that contained inaccurate origin codes.
The CFTC adopted final rules on trade execution and swap facilities to codify previously issued no-action relief on "package transactions."
The SEC approved a FINRA temporary rule amendment that allows member firms to complete their inspection obligations remotely through calendar year 2021.