Regulation

Updated: MFDA pitches single SRO

A discussion paper calls the current system outdated, complex and product-based

By James Langton |February 3, 2020

3 min read

Rep fined, banned for misappropriating client funds

Rep took $200,000 from elderly clients and gambled it away, among other violations

By James Langton |January 31, 2020

1 min read

U.S. regulator to streamline disclosure rules

SEC says it aims to make financial statements more useful for investors and ease compliance for companies

By James Langton |January 30, 2020

1 min read

U.S. firm charged in hedge fund losses

Regulators say firm and fund manager misrepresented risk management practices

By James Langton |January 27, 2020

1 min read