December 9, 2015 - Nearly two-thirds of equity analysts (61 percent) who cover global capital markets institutions expect regulatory pressures on banks to intensify further through 2020, with potential new capital rules, informally known as "Basel IV," likely to have the greatest effect on their operations, according to a global survey of nearly 150 buy-side and sell-side analysts.
November 20, 2015 - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Deutsche Bank Securities Inc. $1.4 million for violating Regulation SHO, FINRA's short interest reporting rule and for related supervisory failures.
November 16, 2015 - The Financial Industry Regulatory Authority (FINRA) announced today that it fined Scottrade, Inc. $2.6 million for failing to retain a large number of securities-related electronic records in the required format, and for failing to retain certain categories of outgoing emails.
November 27, 2015 - The Taiwan Stock Exchange (TWSE) has launched an online 'Rules & Regulations Directory', providing international investors and the media with a centralized location for all 238 Taiwan capital market regulations in both English and Chinese.
November 10, 2015 - Pressure is mounting on the European Commission to postpone the implementation of securities market reforms under MiFID II by a year, as banks and brokers struggle to adapt their IT systems to meet the 2017 timetable.
November 26, 2015 - The Financial Conduct Authority (FCA) has today fined Barclays Bank (Barclays) £72,069,400 for failing to minimise the risk that it may be used to facilitate financial crime.
November 18, 2015 - Barclays has been slapped with a $150 million fine by New York state's financial regulator and told to fire an employee over an automated system used to reject unprofitable client orders on its electronic foreign exchange trading platform.
November 10, 2015 - On the day US prosecutors laid out their case against three men accused of hacking a host of FS firms, the New York State Department of Financial Services has outlined its proposals to strengthen cybersecurity regulations.
November 18, 2015 - The Canadian Payments Association estimates that the cost benefits to businesses of a move to the ISO20022 standard could be as high as $4.5 billion over five years simply from the elimination of cheques.
November 5, 2015 - The Partnership for New York City, the city's leading business organization, today announced the launch of the Partnership Innovation Council, a panel of industry experts who will seek to ensure that New York's legal and regulatory environment is keeping pace with the technological revolution that is transforming business and the economy.