investor protection

European regulators recommend action on investment fund costs

Industry

European regulators recommend action on investment fund costs

European Securities and Markets Authority seeks to curb investors' fund costs

By James Langton |May 17, 2023

1 min read

Rep used fake account, loans to steal from client

Industry

Rep used fake account, loans to steal from client

Former fund rep fined, banned by regulators for misappropriation

By James Langton |May 12, 2023

2 min read

FINRA to firm: Get out!

Industry

FINRA to firm: Get out!

SRO expels brokerage over widespread regulatory violations

By James Langton |May 12, 2023

2 min read

IOSCO issues new guidance for ETF regulation

Products

IOSCO issues new guidance for ETF regulation

Best practices aim to address ETF sector's evolution over the past decade

By James Langton |May 12, 2023

2 min read