Violations

SHANGHAI, July 10 (Reuters) - China has imposed fines on technology giants Alibaba (9988.HK) and Tencent (0700.HK) as well as a range of other firms for failing to comply with anti-monopoly rules on the disclosure of transactions, the…

FINRA’s Focus on Off-Channel Communications The Financial Industry Regulatory Authority (FINRA) has also brought enforcement actions involving the supervision and retention of off-channel digital communications. FINRA has prioritized…