Possibility of Individual Accountability Regime in South Africa?

South Africa recently introduced a new regulator and regulatory framework whose primary objective is to supervise the conduct of business of all financial institutions there. The Financial Sector Conduct Authority (FSCA) represents a distinct change in the country‚Äôs approach to regulation of its financial services industry. 

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US Supreme Court Ruling should Spur Anti-corruption Efforts

The U.S. Supreme Court recently held protections in the International Organizations Immunities Act of 1945 against civil lawsuits in U.S. courts were not absolute. Instead, immunity granted to international organizations, including Multilateral Development Banks (MDBs), is no greater than that enjoyed by foreign governments under the Foreign Sovereign Immunities Act (FSIA).  

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FINRA Fines - 2017 Summary

*The data collected is from January - November 2017.

We have tracked the monthly and quarterly disciplinary actions taken by FINRA against member firms in 2017 and present to you 6 takeaways we have identified by delving into the numbers behind the released enforcement actions.

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