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Keyword: Enforcement

2606 results found
social media

Reels, streams and more must comply with rules against misleading ads, regulator says

KuCoin platform accused of registration, money laundering violations

Stealing money

Over $3.4 million of investors' money was diverted to undisclosed uses, regulators found

European regulator said violations involved conflicts of interest

Appeals by advisor, analyst in insider trading case dismissed

Ban, fine of $300K follow repeat episode of unapproved outside business activity

Panel orders penalties for disgorgment and deterrence

Big data

Firms allegedly made misleading statements about their use of AI in investing strategies

cryptocurrencies

Crypto lending program amounted to unregistered securities offering, regulator charged

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

SRO brings first case following compliance review targeting firms' use of online influencers