investor protection

Industry

U.S. brokers need work on best interest compliance

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

By James Langton |September 5, 2023

2 min read

Regulation

SEC sanctions private equity manager over non-disclosure

Firm failed to reveal conflicted fee payments, regulator charged

By James Langton |September 5, 2023

1 min read

Products

SEC ramps up hedge fund regulation

New rules aim to improve transparency, investor protection in private fund market

By James Langton |August 23, 2023

3 min read

Industry

U.S. reaches deal on broker’s shady trading

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

By James Langton |August 23, 2023

2 min read

Regulation

IOSCO, CPMI report examines central counterparty risks

Policymakers seek to ensure CCP readiness to handle loss events

By James Langton |August 23, 2023

2 min read

Industry

Ontario seeks to expand OSC sanctions spending

Proposal would allow enforcement money to be used for IT projects and new innovation office

By James Langton |August 22, 2023

2 min read

Regulation

Court pauses rival series of trailer-fee lawsuits

Key issue of whether trailer payments were improper to be decided before determining which investors are entitled to damages

By James Langton |August 3, 2023

2 min read

Regulation

Adviser’s insider trading more extensive than SEC thought

Offshore stock trades came alongside previously-sanctioned options trades

By James Langton |August 2, 2023

1 min read

Life

FSRA consults on consumer warnings

Regulator issues proposed guidance for public comment until Aug. 25

By Staff |July 31, 2023

1 min read

Industry

Marketing company gets first-ever penalty for deficient advertorial disclosure

BCSC sanctions offside online influencing

By James Langton |July 27, 2023

3 min read

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