Includes methodology for calculating penalties
Compliance exams uncover an inappropriate one-size-fits-all approach
Global securities regulators working to improve operation of commodity derivatives markets
Fee pressure is leading to shrinking margins, a report says
Tighter regulation would improve banks' liquidity profiles, a report says
Online scams are becoming more sophisticated, U.K. regulator warns
An EY analysis finds the country trailing peers in terms of regulatory environment and adoption potential
Agency concerned about "increasing liquidity mismatches and credit risk"
At issue was whether the broker knew—or should have known—that a trading tip was based on inside information
Non-banks play a growing role in the financial system