The US Securities and Exchange Commission has charged Apex Fund Services for failing to “heed red flags” and address fraudulent accounting on the part of two of its clients...
BNY Mellon’s Pershing is addressing the US Department of Labor’s new Conflict of Interest Rule, developing a range of new solutions to help financial services firms with compliance...
The European Securities and Markets Authority has issued a distribution paper and public consultation on the potential usefulness of distributed ledger technology in securities markets...
Autorité des Marchés Financiers has created a new division dedicated to responding to changes in the market relating to technological innovation in financial services...
Boutique prime broker Global Prime Partners has mandated RSRCHXchange to give its clients access to institutional research content...
Consulting and software service provider GFT has launched its new Regulatory Change and Management Service, a tool for helping firms track regulatory changes in the industry...
The deadlines for the second Markets in Financial Instruments Directive have been officially pushed back...
