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    SEC Uncovers Cherry-Picking Scheme, Charges Investment Adviser Behind It

    Regulation Comparic Team -
    The Securities and Exchange Commission today announced that a Massachusetts-based investment adviser agreed to be banned from the securities industry after the agency uncovered...

    FCA Warning – GVQ Investment Funds (clone of FCA authorised firm)

    Regulation Comparic Team -
    FCA Warning published on their website Fraudsters are using the details of firms we authorise to try to convince people that they work for a...

    SEC Announces $7 Million Whistleblower Award

    Regulation Comparic Team -
    The Securities and Exchange Commission today announced an award of more than $7 million split among three whistleblowers who helped the SEC prosecute an...

    ASIC consults on consolidating ASIC market integrity rules

    Regulation Comparic Team -
    ASIC has today released a consultation paper proposing to consolidate and clarify Australia's market integrity rules. There are currently 14 market integrity rule books that...

    Canadian Securities Regulators Adopt Rules for Over-the-Counter Derivatives Clearing

    Regulation Comparic Team -
    The Canadian Securities Administrators (CSA) today announced two new national instruments affecting over-the-counter (OTC) derivatives trading in Canada. The national instruments are part of...

    CFTC Orders CNCGC Hong Kong Ltd. to Pay a $150,000 Penalty for Call Cotton...

    Regulation Comparic Team -
    The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against CNCGC Hong Kong Ltd. (CNCGC HK), an investment...

    Allergan Paying $15 Million Penalty for Disclosure Failures During Merger Talks

    Regulation Comparic Team -
    The Securities and Exchange Commission today announced that Allergan Inc. has agreed to admit securities law violations and pay a $15 million penalty for...

    CFTC Grants Order to LCH.Clearnet Limited Permitting Portfolio Margining of Customer Positions in Futures,...

    Regulation Comparic Team -
    The U.S. Commodity Futures Trading Commission (CFTC ) today issued an order to LCH.Clearnet Limited (LCH), a CFTC-registered derivatives clearing organization, under Section 4d(f)...

    Appeals Court Rules Against EBS BrokerTec CTO Viral Tolat in Misappropriation of Trade Secrets...

    Regulation Comparic Team -
    Integral Development Corp. announced today that the U.S. Ninth Circuit Court of Appeals ruled against EBS BrokerTec CTO Viral Tolat in the misappropriation of...

    Citadel Securities Paying $22 Million for Misleading Clients About Pricing Trades

    Regulation Comparic Team -
    The Securities and Exchange Commission today announced that Citadel Securities LLC has agreed to pay $22.6 million to settle charges that its business unit...
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