investor protection

ASC sanctions operator of failed trading scheme

Industry

ASC sanctions operator of failed trading scheme

Man permanently banned; ordered to pay $300,000 in disgorgement, penalties and costs

By James Langton |May 10, 2023

2 min read

Whistleblower gets US$279 million for SEC tip

Industry

Whistleblower gets US$279 million for SEC tip

Record-setting payout follows tip that caused regulator to widen ongoing investigation, prompted action from a second federal agency

By James Langton |May 5, 2023

2 min read

SEC steps up disclosure demands on hedge, PE funds

Industry

SEC steps up disclosure demands on hedge, PE funds

Rules aim to enhance systemic risk oversight and investor protection

By James Langton |May 4, 2023

1 min read

SEC boosts companies’ buyback disclosure demands

Industry

SEC boosts companies’ buyback disclosure demands

Investors to get more detailed disclosure of issuers' repurchase activity

By James Langton |May 3, 2023

1 min read