Regulation

The global effort by the U.S. government to catch American tax cheats intensified this week as France, Germany, Italy, Spain and the United Kingdom agreed to support a broad new U.S. law requiring foreign financial institutions to disclose information about the foreign bank accounts of U.S. citizens.

UBS is expanding its compliance database to include information on environmental and social risks, which will be applied to companies, prospective sourcing partners and investment clients to ferret out controversy that could impact the bank's reputation and financial performance.

Wall Street's own watchdog filed a complaint against Charles Schwab Corp., accusing the online brokerage giant of requiring customers to waive their rights to pursue certain legal action against the firm, a violation of industry rules.

Authority details its top concerns in a letter directed to the industry’s compliance officers.

NYSE Euronext said it would focus on its “standalone strategy,’’ while Deutsche Boerse declared this a ‘black day’ after the European Commission prohibited the merger of the two exchange operators.

Antitrust regulators in Europe stopped the merger of Deutsche Boerse and NYSE Euronext on Wednesday, saying the combined group would have a stranglehold of the listed European futures market and would thwart new entrants.

One senator calls the proposal not nearly tough enough.

Our legal expert explains what discretion you have with the account of a client who passes away.

Head of Americas Investment Strategy at Barclays Wealth discusses how investors can look at this year's presidential election.

FINRA has filed an enforcement complaint against David Lerner, the operator of a brokerage aimed at retail investors, claiming he misled investors when he tried to quell customer concern about an action taken against his firm for its marketing of real estate securities.