SEC

SEC sanctions Deutsche Bank for greenwashing, AML violations

SEC sanctions Deutsche Bank for greenwashing, AML violations

The firm's U.S. advisory unit will pay US$25 million to resolve charges

By James Langton |September 25, 2023

2 min read

SEC alleges Virtu failed to guard client data

SEC alleges Virtu failed to guard client data

Firm rejects regulator's allegations, cites political motive for action

By James Langton |September 13, 2023

3 min read

SEC sanctions firms’ theoretical returns reporting

SEC sanctions firms’ theoretical returns reporting

Investment advisers violated revised marketing rules, regulator alleges

By James Langton |September 12, 2023

1 min read

Private firms must follow whistleblower rules too: SEC

Private firms must follow whistleblower rules too: SEC

Company sanctioned for employee agreements that waived rights to whistleblower awards

By James Langton |September 8, 2023

1 min read

U.S. brokers need work on best interest compliance

U.S. brokers need work on best interest compliance

Firms make token effort to raise standards, cling to suitability, NASAA finds

By James Langton |September 5, 2023

2 min read

U.S. appeal court ruling could open door to crypto ETFs

U.S. appeal court ruling could open door to crypto ETFs

Grayscale Investments won its challenge of an SEC decision

By Staff |August 29, 2023

2 min read

Decorative pattern

SEC sanctions investor overcharging

Back-office snafu meant clients didn't get discounts on standard fees

By James Langton |August 25, 2023

2 min read

SEC expands FINRA’s jurisdiction

SEC expands FINRA’s jurisdiction

New rule sharply narrows prop traders' SRO exemption

By James Langton |August 23, 2023

2 min read

Decorative pattern

BMO, Wall Street firms sanctioned for app violations

Regulators fined firms a total US$549 million for record-keeping failures

By James Langton |August 8, 2023

2 min read

Decorative pattern

SEC alleges US$1 billion crypto offerings were offside

Regulator insists cryptoassets were securities, despite efforts to skirt that designation

By James Langton |July 31, 2023

2 min read

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