Keyword: investor protection

140 results found
Disclosure form

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

Magnifying glass on document

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

Financial safety net

Policymakers seek to ensure CCP readiness to handle loss events

Wooden gavel used by a judge or auctioneer

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

Judge makes ruling

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

Fraudster arrested

Offshore stock trades came alongside previously-sanctioned options trades

Stormy market conditions

Regulator issues proposed guidance for public comment until Aug. 25

  • By: Staff
  • July 31, 2023 July 31, 2023
  • 16:10
Jumping hurdles

Major reforms unlikely after review finds funds resilient to market stress

court gavel regulatory

BCSC sanctions offside online influencing

Money hanging in a washing machine, laundering

Casino closures during the pandemic forced illicit activity into different spaces