Morgan Stanley, the U.S. Wall Street firm, was fined $10 million by the Financial Industry Regulatory Authority (FINRA) for compliance failures. Get the Full Story Complete the form to unlock this article and enjoy unlimited free access to all PYMNTS content — no additional logins...
Get the Full Story Complete the form to unlock this article and enjoy unlimited free access to all PYMNTS content — no additional logins required. yesSubscribe to our daily newsletter, PYMNTS Today. By completing this form, you agree to receive marketing communications from PYMNTS and...
The European Data Protection Board will soon decide if financial regulators around the world can freely engage in the exchange of cross-border information. Get the Full Story Complete the form to unlock this article and enjoy unlimited free access to all PYMNTS content — no...
Senate Majority Leader Mitch McConnell (R-Ky.) has rejected the STATES Act, legislation that would allow states to regulate their own cannabis industries without federal intervention. Get the Full Story Complete the form to unlock this article and enjoy unlimited free access to all PYMNTS content...
The Securities and Exchange Commission announced late last week that it settled with Wealthfront Advisors and Hedgeable, two FinTech robo-advisors, for misleading investors. Get the Full Story Complete the form to unlock this article and enjoy unlimited free access to all PYMNTS content — no...
Get the Full Story Complete the form to unlock this article and enjoy unlimited free access to all PYMNTS content — no additional logins required. yesSubscribe to our daily newsletter, PYMNTS Today. By completing this form, you agree to receive marketing communications from PYMNTS and...
The U.S. securities regulator is having trouble with rating agencies because it doesn’t have the tools or specific knowledge it needs to analyze huge amounts of rating data, according to a report from Reuters. Get the Full Story Complete the form to unlock this article...
Jay Clayton, the chief of the U.S. Securities and Exchange Commission (SEC), urged European Union and U.K. lawmakers to prepare for a no-deal Brexit, which could potentially wreak havoc on markets across the globe, Financial Times reported. Get the Full Story Complete the form to...
The Financial Conduct Authority (FCA) announced Tuesday (Dec. 18) that U.K. banks made more than $3.03 billion from charging overdraft fees last year. Get the Full Story Complete the form to unlock this article and enjoy unlimited free access to all PYMNTS content — no...
