Keyword: Investor protection

1713 results found
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

volatility

Policymakers aim to address issues exposed in March 2020 market stress

Chart showing ups and downs of stock market

Authorities allege traders exploited inside info on planned securities offerings

Crypto currency

BitMEX sanctioned in U.S. for anti-money laundering, KYC violations

Phone text

Regulator settles with 12 firms for a combined US$63.1 million

Gavel and texts

Firms pay US$45 million to settle trade reporting, recordkeeping violations

Business banking

Earlier decision requiring clearing broker to produce records overturned