Morgan Stanley has agreed to pay $13 million to settle charges from the SEC that it overbilled investment advisory clients and violated the custody rule relating to annual surprise examinations...
CIBC Mellon has appointed Darlene Claes-McKinnon as relationship executive...
Markus Ruetimann has joined the board of Global Prime Partners (GPP) as senior non-executive director...
Regulatory technology provider AQMetrics has improved its cloud-based risk and compliance platform to add capabilities for compliance with MiFID II...
New research payment unbundling rules under the second Markets in Financial Instruments Directive could mean large investment banks will miss out on research budgets, according to a survey from RSRCHXchange...
Embracing new technology developments to know-your-client processes can help the financial services industry to tackle financial crime and terrorist financing without interrupting user experience...
George Zolnai has been appointed as the new CEO of Raiffeisen Bank in Hungary, subject to approval from the supervisory board and regulatory authorities...
KDPW, the Polish central securities depository, has been granted accreditation to issue legal entity identifier codes by the Global Legal Entity Identifier Foundation...
