Keyword: Investor protection

1672 results found
Dogecoin

Regulator issues first in a planned series of discussion papers on crypto rules

Fines graphic

Panel orders $3.3 million in penalty, disgorgement

Rules and regulations

Regulator issues guidance on broader protections against misinformation

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

Disclosure about SPAC listings was misleading, regulator alleged

investment growth

Regulator proposes new "targeted support" model for collective advice

trade timing

Proposed reforms would harmonize requirements for inter-listed securities

calendar court

Firm failed to question numerous red flags about purported billion-dollar contracts, according to OSC settlement

Businessman shamed

CEO faces insider trading charges for selling company's stock based on advance knowledge of its negative earnings, and his own firing

Metal handcuffs placed over the word fraud

U.S. authorities allege that men primarily posed as female advisors

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

Florida-based worker allegedly facilitated laundering of drug proceeds in Colombia