Fund change triggered large tax bills for certain investors, regulators alleged
Advisory clients only offered low-paying sweep accounts, regulator alleged
Firms breached fiduciary duties by ignoring known vulnerability, regulator alleged
Authorities allege traders exploited inside info on planned securities offerings
BitMEX sanctioned in U.S. for anti-money laundering, KYC violations
Regulator settles with 12 firms for a combined US$63.1 million
Firms pay US$45 million to settle trade reporting, recordkeeping violations
Earlier decision requiring clearing broker to produce records overturned
ATS operator settles allegations of compliance shortcomings
Regulator's head of enforcement, chair to depart next week