67 results about this entity
Period: 05 Jan 2009 - 08 May 2024
News
US regulatory body Finra has formed a Social Networking Task Force to explore the compliance challenges posed by new Web 2.0 communications channels, such as FaceBook, LinkedIn, and Twitter.
29 October 2009
US online brokerage Scottrade has been hit with a $600,000 fine for failing to establish and implement an adequate anti-money laundering programme for its Internet-based business model.
26 October 2009
With dark pools under the regulatory microscope, Nyse Euronext has struck a deal with five firms behind ATSs and off-exchange market centres to print trades made on the venues on the reporting facility it operates with Finra and display daily activity on Nyse.com.
20 October 2009
Citi has been fined $600,000 by US regulators for lax supervision of trading strategies that helped foreign clients avoid taxes on dividends. The firm also failed to adequately monitor Bloomberg messages used to communicate about the trades.
13 October 2009
Citi, UBS and Deutsche Bank have been fined a total of $425,000 by US regulators and ordered to pay customers up to $420,000 for failing to supervise communications related to the 2006 initial public offering of Vonage Holdings.
22 September 2009
Two former Wachovia units have been fined $1.1 million by the Financial Industry Regulatory Authority (Finra) after computer programming problems meant they failed to provide more than 800,000 required notifications to customers.
24 March 2009
Two E*Trade units have been hit with a $1 million fine for anti-money laundering (AML) policy and procedure failures by the Financial Industry Regulatory Authority (Finra) which says the online brokerage failed to implement automated electronic systems.
05 January 2009
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