Several financial firms were fined large amounts for regulatory non-compliance issues: - Macquarie Capital was fined $2.95 million for failing to provide complete trade data to regulators. - A global brokerage firm paid $4 million for falsely claiming advisors were not compensated by commissions. - Barclays Capital paid over $10 million in restitution and was fined $3.75 million for mutual fund suitability violations. - A global wealth management firm paid $267 million for failing to disclose it preferred investing client funds internally and $40 million in a parallel CFTC action. Regulators are expected to increase audits in 2016 and implement new compensation rules under Dodd-Frank to limit excessive risk-