surveillance

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

Published On July 30, 2019

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Next Gen Trade Analytics – The Dream and the Possibilities

Published On June 26, 2019

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FINRA’s Susan Schroeder: Getting Ahead in a “Greedy” Profession

Published On June 19, 2019

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Julia Hoggett: Firms Identify the “Shades of Grey” Surrounding MAR

Published On June 12, 2019

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Corporate Criminal Offenses: Reasonable Prevention Procedures One Year On

Published On June 10, 2019

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FCA Market Watch 57 and 58: Is the Honeymoon Over?

Published On March 1, 2019

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