Regulator orders fines, disgorgement against portfolio manager, broker
Firms fined by U.S. regulators for off-channel communications
SEC opts not to penalize investment adviser that self-reported violations
Firm dumped overvalued illiquid securities on retail mutual funds, SEC alleges
Moves to sub-penny trading increments among reforms to reduce costs, enhance transparency
Firm failed to appreciate the risks posed by FTX's affiliated hedge fund, regulator says
Unregistered investment funds are allegedly costing investors millions
Seven companies settle allegations that labour contracts violated SEC rules
Firms settle allegations that confidentiality deals impeded communications with regulators
Firms failed to capture employees' private texts, WhatsApp chats
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