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Keyword: Compliance

451 results found
Courts receive papers

Undertaking doesn't preclude regulator's enforcement action, court finds

Interconnected ESG

Firms not disclosing investments' negative ESG impact, Paris alignment

Using phone for finances

Another 10 firms sanctioned for extensive recordkeeping violations

Inspecting documents

Regulator aims for truth in advertising, seeks to combat greenwashing


Wedbush Securities fined for compliance failings

Blackboard conflict

Firms make token effort to raise standards, cling to suitability, NASAA finds


Former firm provided reps with improper incentives, regulator alleged


Back-office snafu meant clients didn't get discounts on standard fees

Magnifying glass on document

Nomura Securities agrees to trading misconduct penalties in non-prosecution agreement

Fines graphic

Regulators fined firms a total US$549 million for record-keeping failures