Citigroup Global Markets will pay a $1.25 million fine for allegedly failing to conduct timely or adequate background checks on...Read more
Citigroup Global Markets will pay a $1.25 million fine for allegedly failing to conduct...Read more
Finra
– The Wall Street Journal reported that Toshiba said it would put international investors on its board, including one with ties to a...Read more
– The Washington Post reported that Google has been fined almost $57 million by French regulators, which said the company violated the...Read more
– The Wall Street Journal reported that Carlos Ghosn was formally charged with understating his compensation in Nissan Motor Co’s...Read more
– 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
