Bank fined US$1.25 million over swaps reporting shortcomings
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
Court orders restitution, civil penalties alongside jail term
Firm dumped overvalued illiquid securities on retail mutual funds, SEC alleges
Regulator charges Weizhen Tang with breaching permanent ban imposed in 2016
Investor lost $1.75 million after mortgaging home to invest
Firm failed to appreciate the risks posed by FTX's affiliated hedge fund, regulator says
Sanctions seek deterrence, level playing field for compliant crypto firms
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