Supervision

FINRA Hits Five Firms for Same KYC Supervisory Failure

Published On January 2, 2020

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FINRA and Affiliated Exchanges Fine Credit Suisse for Supervision and Market Access Violations

Published On December 30, 2019

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BGC Gets $3m Fine for Supervision, Reporting and Record Keeping Failure

Published On November 26, 2019

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IDB Gets Chunky Fine From CFTC for Misleading Statements to Clients and Regulator

Published On September 20, 2019

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OCC Announces Supervision Staff Realignment

Published On August 12, 2019

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Nomura Pays $25m to Settle SEC Charges for Lack of Supervision

Published On July 30, 2019

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