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US compliance squeeze means new chief executive Richard Teng will be hard-pressed to keep exchange competitive
SEC also fines former chief Tom Albanese $50,000 after a five-year legal battle
Wall Street regulator says trading venue commingled customer funds with its own
Proposed deal would come as Washington increases its scrutiny of misconduct in crypto sector
Finra proposal would allow performance projections in marketing to wealthy and institutional investors
Legendary bear says interest in fundamental stockpicking has waned
Republicans on board say review of regulator’s culture must also look at conduct of chair Martin Gruenberg
PCAOB imposes total penalties nearing $12mn against PwC, Deloitte, KPMG and others
If the agency tolerated alleged sexual harassment and loutish boozing in house, no wonder it has struggled to control the bankers
Chair of US banking regulator says a 90-day review of workplace culture has begun
Big Four firm says deficiency rate soared to 46% in annual inspections
Brokers, hedge funds and advisers say proposals are unnecessary and impossible to implement
Or, how to make enemies and annoy (the right) people
Proposal would subject digital wallets and payment applications to more scrutiny
The GSIFI wars are starting again
Founder of $62bn firm hits out at US proposals to treat big players in his industry like broker-dealer arms of banks
Lawsuit alleged that agencies conspired to force sellers to pay hefty commissions
Chief executive testifies in US government’s antitrust case accusing Big Tech company of shutting out competition
Credit scores in America are capricious and unfairly limit access to banking
Treasury aims to inject more transparency into opaque ‘crypto mixing’ services following Hamas attack on Israel
Seriously!
Reaction to SEC’s decision not to appeal against Grayscale ruling suggests investors think approval looks more likely
SEC head warns reliance on a few data models could unleash a financial crisis within a decade
Lenders of securities must report loans daily, but not in real time as had been feared
Securities lenders would be forced to report deals within 15 minutes under proposed US rule
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