SEC brings charges against 11 Wall Street firms, imposes fines of $289M
The firms have begun implementing improvements to their compliance policies and procedures to address these violations.
The firms have begun implementing improvements to their compliance policies and procedures to address these violations.
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SMBC Nikko Securities America, Inc., a member of SMBC Group, has announced a number of significant hires across the equity execution business.
Tokyo Stock Exchange, Inc. (TSE) and Osaka Exchange, Inc. (OSE) have taken a disciplinary action against SMBC Nikko Securities.