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Gurbir Grewal, director of division of enforcement, SEC

SEC orders 11 firms to pay $88m over widespread recordkeeping failures

Alex Pugh - 0

Nasdaq, Deutsche Börse face European Commission derivatives antitrust probe

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Tracy Moore

Regulatory Round-Up September

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Verena Ross, chair, ESMA

ESMA: markets remain ‘very sensitive’ 

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Andrew Bailey, governor, Bank of England

Bank of England: Policy setting to ‘remain restrictive’

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Mike Carrodus, CEO, Substantive Research

Global asset managers divided over FCA unbundling rules

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Caroline Pham, commissioner, CFTC

Regulatory Round-Up August

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Matt Storey, CPO, SteelEye

SteelEye tool tackles growing cross-product manipulation threat

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Tracy Moore

Strengthen KYC, AML firms urged after H124 sees 31% surge in...

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Caroline Pham, commissioner, CFTC

CFTC commissioner: no evidence of CFTC violation in recordkeeping case 

Alex Pugh - 0
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