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Policies & Regulatory Compliance News

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121-135 of 372 results
Citigroup unit fined by SEC for fradulent ATS operation
By BBR Staff Writer
Citigroup business unit LavaFlow has been charged by the US Securities and Exchange Commission (SEC) over failure to protect confidential subscriber data while operating alternative trading system (ATS).
Policies & Regulatory Compliance > News
Goldman Sachs likely to pay $1.25bn for mortgage settlement
By BBR Staff Writer
Goldman Sachs Group may end up paying up to $1.25bn to US regulators to settle allegations of selling faulty residential mortgage-backed securities (RMBS) to Fannie Mae and Freddie Mac in lead up to the financial crisis.
Policies & Regulatory Compliance > News
Lloyds likely to pay up to £300m to settle Libor rigging probe
By BBR Staff Writer
Lloyds Banking Group has reportedly agreed to pay up to £300m to US and UK regulators to settle an investigation into its alleged attempts to manipulate the London Interbank Offered Rate (LIBOR).
Policies & Regulatory Compliance > News
Morgan Stanley to pay $275m to settle SEC RMBS probe
By BBR Staff Writer
Morgan Stanley has agreed to pay $275m to settle allegations that its entities misled investors in a pair of residential mortgage-backed securities (RMBS) securitization.
Policies & Regulatory Compliance > News
European Commission approves NBG’s restructuring plan
By BBR Staff Writer
The European Commission (EC) has cleared the proposed restructuring plan of the National Bank of Greece (NBG).
Policies & Regulatory Compliance > News
UK FCA accelerates currency manipulation settlement
By BBR Staff Writer
The UK Financial Conduct Authority (FCA) is reportedly in talks with a group of banks to reach a first settlement in global investigation into alleged rigging of rates in currency markets.
Policies & Regulatory Compliance > News
US Securities and Exchange Commission adopts money market fund reform rules
The Securities and Exchange Commission adopted amendments to the rules that govern money market mutual funds.
Policies & Regulatory Compliance > News
ASIC fines RBS for Australian Bank Bill Swap Rate misconduct
By BBR Staff Writer
ASIC accepted an enforceable undertaking (EU) from The Royal Bank of Scotland plc and The Royal Bank of Scotland N.V. (RBS) in relation to potential misconduct involving the Australian Bank Bill Swap Rate (BBSW).
Policies & Regulatory Compliance > News
US accuses Barclays and Deutsche Bank of aiding hedge funds in tax evasion
By BBR Staff Writer
World banking giants Barclays and Deutsche Bank have been accused by the US of helping more than a dozen hedge funds in tax evasion.
Policies & Regulatory Compliance > News
UK Serious Fraud Office to launch forex market manipulation probe
By BBR Staff Writer
The UK’s Serious Fraud Office (SFO) is reportedly planning to launch the criminal investigation into alleged manipulation of the $5.3trn-a-day foreign-exchange (forex) market.
Policies & Regulatory Compliance > News
RBI issues draft guidelines for licensing of payments banks and small banks
By BBR Staff Writer
The Reserve Bank of India released on its website, the Draft Guidelines for “Licensing of Payments Banks” and Draft Guidelines for “Licensing of Small Banks”. The Reserve Bank has sought views/comments on the draft guidelines from all interested parties and general public.
Policies & Regulatory Compliance > News
Blackstone, KKR and TPG near settlement on collusion case
By BBR Staff Writer
Blackstone Group, KKR and TPG Capital are reportedly conducting negotiations to resolve charges that they conspired to suppress competition in some of the biggest buyout deals before the financial crisis.
Policies & Regulatory Compliance > News
BofA offers $13bn to settle residential mortgage disputes
By BBR Staff Writer
Bank of America (BofA) has reportedly offered to pay $13bn to the US regulators to resolve the long-running defective residential-mortgage-securities sale investigation.
Policies & Regulatory Compliance > News
MAS recommends tougher anti-money laundering rules
By BBR Staff Writer
The Monetary Authority of Singapore (MAS) released a consultation paper on proposed amendments to its notices to financial institutions (FIs) on anti-money laundering and countering the financing of terrorism (AML/CFT).
Policies & Regulatory Compliance > News
S&P Ratings Services plans to settle US DoJ’s inflated ratings lawsuit
By BBR Staff Writer
Standard & Poor's (S&P) Ratings Services is reportedly planning to restart negotiations with the US Department of Justice (DoJ) to resolve a pending lawsuit following more than a year of fighting.
Policies & Regulatory Compliance > News
121-135 of 372 results