Financial Conduct Authority Executive Director for Strategy and Competition Christopher Woolard highlighted agency efforts to promote innovation in the financial services industry.

The SEC named Adam S. Aderton as the new co-chief of the Asset Management Unit's Enforcement Division.

An annuities firm agreed to settle FINRA charges for misrepresenting the nature of a portfolio containing several retirement bond funds.

CFTC Chair J. Christopher Giancarlo urged U.S. regulators to clarify obligations for dealers to exchange initial margin where requirements are below the $50 million threshold amount specified in the rules.