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Senior industry compliance and operations experts are wanted for a regulatory advisory committee

  • By: Staff
  • July 21, 2021 July 21, 2021
  • 12:25
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The FCA said poor product design and disclosure risks undermining investors' trust

Gavel

The US$8.1-million settlement will be distributed to harmed investors

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Greater transparency could help investors and improve audit quality

Amid concerns about consumer harm, the regulator has backed away from a plan to allow incentives

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The federal regulator is seeking feedback on the design of a prudential regime for digital assets

Advisor meeting with clients

Regulators are granting relief from certain CFR requirements to allow DSC sales until a ban takes effect

Leadership

New rules increase maximum limits for issuers and investors

Lawyer writing in legal book

Securities regulators ordered more than $42 million in restitution, compensation and disgorgement

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Revisions to accommodate a new accounting standard are due in 2023