Former MF Global CEO Claims CFTC Charges Against Him Are Meritless.
Jon Corzine, former chief executive officer of MF Global Inc. (MFG), objected to a proposed motion for summary judgment to be filed by the Division of...more
Cybersecurity, Potential Equity Order Routing Conflicts and AML Among the Top Examination Priorities for SEC in 2015 -
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations...more
1/20/2015
/ Anti-Money Laundering ,
Broker-Dealer ,
Canada ,
Collateralized Debt Obligations ,
Cybersecurity ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Mortgage-Backed Securities ,
Order Routing ,
SEC Examination Priorities ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Spoofing ,
Transfer Agents