US watchdog determined the bank had hired children of government officials in a ‘systematic bribery scheme’.
Tag: Securities and Exchange Commission
Mary Jo White to leave US regulator at the end of Obama’s administration.
FINRA members will be required to report on transactions in treasuries as of July 2017.
Deutsche Bank failed to safeguard research and provide internal communications to US regulator during investigation.
US regulator found ex-Credit Suisse COO had pressured employees to misrepresent metrics.
Bats has urged the SEC to reject Nasdaq’s data feed proposal, claiming it is technically unnecessary, anti-competitive and unfounded.
Head trader in RMBS at Goldman Sachs found to have misled clients over pricing and is fined $400,000.
NYSE petition sees SEC approve ‘simplification’ of ETF listing process.
The SEC has fined Citigroup for submitting incomplete bluesheets, due to technological errors.
Nasdaq threatened legal action earlier this year, and is now looking into options following controversial IEX decision.