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Dominant vendor Broadridge says brokers find it easier to ‘buy more things from one provider’
Financial regulators should ensure banks properly consider climate change risks
Legal threat will probably have intended chilling effect on the most aggressive hedge funds
Regulator’s ‘misguided’ securities lending proposals risk fuelling volatility, say managers
Sarah Bloom Raskin expected to be Biden administration’s top pick for vice-chair of supervision
US financial regulator should crack down to prevent selling just before share prices fall
Issuers asked to provide more information on their use of legal loopholes to list in New York
Khan’s FTC appointment has ushered in a transatlantic alliance, says EU’s Vestager
Regulators, banks and employees’ battle over use of personal phones returns to the spotlight after JPMorgan fine
US regulators said that failure to preserve communications hindered investigations
US regulator weighs additional disclosures for security-based swaps as well as new rules for money market funds
Allies should cheer and support the desire to clean up finance
Senator’s proposed legislation takes aim at private equity and upends core tenets of the Chapter 11 bankruptcy system
German lender failed to alert authorities about internal complaint at asset management unit
CFTC commissioner Dawn Stump warns against ‘regulating through enforcement’
Saule Omarova says going ahead ‘no longer tenable’ after fierce criticism from Republicans and Wall Street
Group is latest to face scrutiny after going public via merger with a blank-cheque company
Anti-corruption drive could raise scrutiny of all-cash commercial and residential property transactions
Final investigation found traders had used Sterling Lads chatroom to share information
Regulator takes tougher stance on effective giveaways involving stock or options
Explainer: How authorities and lawmakers around the world are innovating under pressure
The world’s biggest crypto exchange claims it is courting wealth funds
German supervisor BaFin set to have to cut ties with industry representatives
Saule Omarova labelled a ‘radical’ by Republicans and encounters scepticism from some Democrats too
SEC dissatisfied with plan to prevent ‘fraudulent and manipulative acts’ from reaching regulated markets
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