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Regulator hopes to send signal after agreeing to a $55m settlement.
Discussions of enterprise risk management, surveillance technology, and market abuse feature in the first of two reports.
Recent convictions serve as a warning for future prosecutions.
The whistleblower supported the Division of Enforcement with industry expertise.
Three of Wall Street’s biggest PE firms are negotiating settlements with the SEC over their employees’ use of banned communication channels.
CFTC Commissioner Christy Goldsmith Romero and Sacha Sadan, FCA’s Director of ESG, discussed climate policy in front of an international audience in London.
The issues resulted in trade surveillance gaps in connection with multiple venues and trading systems.
Nasdaq, CBOE and NYSE approved to list ETFs tied to the price of ether.