New rules aim to improve transparency, investor protection in private fund market
New rule sharply narrows prop traders' SRO exemption
Nomura Securities agrees to trading misconduct penalties in non-prosecution agreement
Proposal would allow enforcement money to be used for IT projects and new innovation office
Regulator supports firms' efforts to address ESG risks
Regulator sets supervisory priorities for credential providers
Legal and technical challenges must be overcome for automated contracts to pay off, Moody's says
Regulators fined firms a total US$549 million for record-keeping failures
Margins, profits to be squeezed as consumer protections boosted
Regulators found firms are failing to identify and manage conflicts in clients' best interests