Purpose To explain a recent US Securities and Exchange Commission (SEC) administrative proceeding targeting a broker-dealer as part of the Commission’s continuing efforts to enforce anti-money laundering (AML) regulations and reporting. Design/methodology/approach This article explores the...

An overview of the treatment of reverse-payment agreements by the agencies, the appellate courts, Congress, and the European Commission.

Purpose: To provide an overview of the Commodity Futures Trading Commission’s (CFTC’s) new self-reporting and cooperation program. Design/methodology/approach: Summarizes the key features of the CFTC’s new cooperation program and the CFTC’s statement of its purpose in enacting the...