Company: North American Securities Administrators Association

199 results found

A former SEC and CFTC executive will be head of the group's legal division

Familiar investment schemes are joined by new scams on regulators' watchlist

Many clients aren't being paid after winning arbitration

The association president warned of the reputational damage from cyber attacks

Investment adviser firms were the state regulators' top targets in 2018

Association warns small firms are "low-hanging fruit for cybercriminals"

Regulators have launched 130 enforcement investigations so far this year

Advisors must be "prepared to talk to clients in crisis"

Recent legislation gives financial firms and employees immunity for reporting incidents

The new U.S.-Mexico-Canada (USMCA) trade deal has yet to be ratified