Home James Langton

Mystery shopping exercise finds consumers felt good despite banks’ poor sales practices

  • May 26, 2022 May 26, 2022
  • 15:46

Tribunal rejects circumstantial case, concluding trades are suspicious but not clearly offside

  • May 26, 2022 May 26, 2022
  • 14:30

The regulator plans to phase in mandatory TCFD disclosure requirements

  • May 26, 2022 May 26, 2022
  • 13:51

Proposals to enhance disclosure to fund investors out for 60-day comment period

  • May 25, 2022 May 25, 2022
  • 16:36

Economic, financial fallout from Russian invasion is driving increased risks

  • May 25, 2022 May 25, 2022
  • 14:20

Firm deceived investors about trading halt, SEC alleges

  • May 25, 2022 May 25, 2022
  • 13:58

Fund manager pays US$1.5 million to settle allegations involving ESG disclosure

  • May 24, 2022 May 24, 2022
  • 14:19

The FCA is seeking changes to address liquidity concerns revealed in March 2020

  • May 24, 2022 May 24, 2022
  • 13:28

Mutual funds saw net redemptions in April while ETF sales stayed positive, IFIC reported

  • May 24, 2022 May 24, 2022
  • 12:44

Model rule, if implemented by regulators, would add enforcement teeth to arb awards, sanctions

  • May 20, 2022 May 20, 2022
  • 14:54