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Keyword: Investor protection

1619 results found
United States flag with Bitcoin cryptocurrency

Hester Peirce to lead agency's effort to bring more certainty to crypto sector

Lightbulb drawn around tree image, indicating sustainable ideas

Report reveals firm's top ESG trends for investors in 2025

signing document

Agency reports record enforcement filings, seeks to save dealer rule

Court settlement

Fund change triggered large tax bills for certain investors, regulators alleged

concept of time

Regulators pushback final post-crisis reforms ahead of new U.S. administration

Judgment fine

Advisory clients only offered low-paying sweep accounts, regulator alleged

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

Firms breached fiduciary duties by ignoring known vulnerability, regulator alleged

climate change

Potential for climate tipping points, feedback loops to generate systemic, economic fallout

Board room discussion

Regulator to consider fair treatment of clients amid firms' operational risks

Crypto coins

The sector is vulnerable to money laundering, illicit activity, hacking