– The Wall Street Journal reported that Carlos Ghosn was formally charged with understating his compensation in Nissan Motor Co’s...Read more
– The Wall Street Journal reported that Carlos Ghosn was formally charged with...Read more
Finra
– The Financial Industry Regulatory Authority ( Finra ) issued a white paper outlining recent regulatory technology (regtech)...Read more
– The Financial Times reported that BlackRock founder and CEO Larry Fink made $28 million last year, up by nearly 10 percent from 2016...Read more
– The Wall Street Journal reported that the Federal Reserve’s unprecedented move to curb growth at Wells Fargo sent a message that...Read more
Broker-dealers will this year face renewed scrutiny of how they prepare for disasters such as severe weather, cyber-attacks and...Read more
Citigroup Global Markets (CGMI) has agreed to pay a total of around $11.5 million to settle allegations that over an almost five-year...Read more
Houston-based Next Financial Group will pay a $750,000 fine and hire an outside consultant to check the adequacy of various compliance...Read more
Regulators are looking into whether broker-dealers are being persuaded to place clients’ trades with exchanges or other centers based...Read more
– The Wall Street Journal reported that Broadcom opened the next front in its $105 billion takeover bid for Qualcomm by saying it...Read more
JPMorgan Securities has agreed to pay a $1.25 million fine and review certain of its systems and procedures to settle allegations it...Read more
