Keyword: investor protection

58 results found
scales of justice

Lenders scammed out of millions with fake assets, financial statements

Two golden coins - Bitcoin and Ethereum

Rule changes would extend advisers' obligations to all client assets

four people straining to pull against a single hand

New tools aim to improve investigative authority, collections

gavel on a wooden bench

Firm failed to prevent unauthorized access to exchange's electronic trading system

Businessman hand holding paper plane on front of vintage full frame black blank blackboard no frame and couple clouds

Elevated redemptions from illiquid funds highlight possible suitability risks, Fitch says

Business figurines placed with bull and bear figurines.

State regulators oppose proposals to expand private markets, erode investor protections

The proposal would allow for disgorged funds to be paid out to victims of industry misconduct

Five strands of new barbed wire forming top of fence on blurred background.

Former promoter sentenced after pleading guilty to conspiracy charge

calculating numbers for income tax return with glasses pen and calculator

Insurance regulators ponder seg fund upfront commissions

wall street, new york city

New asset-backed securities proposal would implement a key post-crisis reform