Self-regulatory organisations (SROs)
Market awaits GMRA green light after China repo relaxation
Icma reviewing new PBoC rules and “potential implications” for GMRA eligibility onshore
Brokers slam CME over ‘conflict of interest’ in FCM plan
Clearing members question how CME could be quasi-regulator as well as direct competitor
CFTC’s Behnam wants federal oversight of crypto markets
Proposal would make US first Western country to regulate crypto exchanges and traders
SEC mulls extra scrutiny of US Treasuries trading venues
Roisman suggests US might apply full rigour of Reg ATS to non-exchange Treasuries platforms
UK banks hope self-discipline will ease regulatory onslaught
Industry looks to medicine and law for self-regulation models
US SEC slams Finra for altering documents
Finra must improve after misleading regulator, order says
SEC probes NYSE report
The Securities and Exchange Commission (SEC) has opened an investigation into matters raised in a December 2003 report to the New York Stock Exchange (NYSE's) Board of Directors, prepared by independent counsel Dan Webb.
The Hunt For Terrorist Cash
One month after the attacks on Sept. 11, Congress passed the USA Patriot Act. Now every financial firm in the country is a deputy in the search for terrorist funding.