Regulatory

Four tipsters, but just two awards

The pair of tipsters who have denied an award didn't provide info that contributed to the investigation, the SEC said

By James Langton |March 4, 2021

2 min read

SEC suspends 15 stocks, citing social media hype

Regulator concerned that investors may be duped by efforts to pump dormant stocks

By James Langton |February 26, 2021

1 min read

MFDA puts firms’ performance reporting under the microscope

Dealers should examine their client reports for unusual or incorrect information

By James Langton |February 24, 2021

2 min read

SEC pays combined US$3 million to two whistleblowers

They tipped the regulator to misconduct after each reported internally

By James Langton |February 19, 2021

1 min read