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    SEC and CFTC Fine 13 Wall Street Firms a Combined $549M for Recordkeeping Failures
    Regulatory Watch

    SEC and CFTC Fine 13 Wall Street Firms a Combined $549M for Recordkeeping Failures

    SteelEye    |    08 August 2023

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    Regulatory Watch

    FCA market watch 74 - Market conduct & transaction reporting issues

    SteelEye    |    25 July 2023

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    SEC Fines America's Largest Bank $4M Over Deleted Emails
    Regulatory Watch

    SEC Fines America's Largest Bank $4M Over Deleted Emails

    SteelEye    |    23 June 2023

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    Regulatory Watch

    The SEC Targets Two More Tier-One Banks For Record Keeping Failures

    SteelEye    |    11 May 2023

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    FCA Market Watch 73: On Market Abuse involving CFDs and spread bets
    Regulatory Watch

    FCA Market Watch 73: On Market Abuse involving CFDs and spread bets

    SteelEye    |    27 April 2023

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    New SEC Insider Trading Rules for Executives Trading in Company Stock
    Regulatory Watch

    New SEC Insider Trading Rules for Executives Trading in Company Stock

    SteelEye    |    31 March 2023

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    The SEC turns to Hedge Funds in WhatsApp Probe
    Regulatory Watch

    The SEC turns to Hedge Funds in WhatsApp Probe

    SteelEye    |    08 February 2023

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    SEC collects record penalties of $6.4 billion in 2022
    Regulatory Watch

    SEC collects record penalties of $6.4 billion in 2022

    SteelEye    |    18 November 2022

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    Regulatory Watch

    11 Wall Street banks & brokers fined $1.8 billion by the SEC and CFTC

    SteelEye    |    28 September 2022

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    Top tier bank fined £12.6m by the FCA
    Regulatory Watch

    Top tier bank fined £12.6m by the FCA

    SteelEye    |    23 August 2022

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    Regulatory Watch

    FCA Market Watch 69: On market abuse surveillance & conduct issues

    SteelEye    |    18 May 2022

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    Regulatory Scrutiny and Fines Ramp Up for Lax Employee Monitoring
    Regulatory Watch

    Regulatory scrutiny and fines ramp up for lax employee monitoring

    SteelEye    |    01 March 2022

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    Regulatory Watch

    Proposed SEC changes to Electronic Record Keeping Requirements

    SteelEye    |    24 November 2021

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    IMAGE COPYRIGHT: FINANCIAL CONDUCT AUTHORITY
    Regulatory Watch

    FCA market watch 68 - Market conduct & transaction reporting issues

    Matt Storey    |    23 November 2021

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    IMAGE COPYRIGHT: FINANCIAL CONDUCT AUTHORITY
    Regulatory Watch

    FCA Market Watch 66 - Market conduct and transaction reporting issues

    Matt Storey    |    13 January 2021

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