Regulator issues report with recommendations for building safe, sound markets
Regulator examines use of discretion in ratings, following OBSI alert
SRO considers modernizing rules amid market, investor evolution
Exam division details compliance priorities for year ahead
ESMA promises transition oversight group to support move to faster settlement
CIRO settles with firm over failure to question suspicious trading activity
Regulatory order breach results in fine, disgorgement and a new ban
Trader engaged in widespread spoofing, authorities alleged
Block trade in interlisted stock was executed off-exchange without regulatory approval
Initiative allows firms to test innovations, explore potential regulatory reforms