Firm violated SEC and SRO rules, including analyst disclosure requirements
Proposals aim to address issues exposed in financial crisis, scandals
Supervisory colleges would help uncover and mitigate possible harm to investors
Regulator sanctions firm for anti–money laundering compliance violations
The amendments give regulators access to audit work performed by foreign firms
The MFDA's board approved both withdrawals at its meeting on Dec. 1.
The new rule will come into force following ministerial approval
Man who ran forex fraud scheme from the U.K. gets six years in prison
Regulatory fine pales against firm's $32-million remediation plan
The SRO provides clarity ahead of new year-end requirements, noting how products, fees and even ESG should be discussed