Keyword: Investor protection

1619 results found
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

Tread carefully

AIMA survey finds crypto funds struggle to get basic banking services

Class action

ATS operator settles allegations of compliance shortcomings

change direction

Regulator's head of enforcement, chair to depart next week

Judge looks at papers

Effort to elevate financial compensation in criminal cases falls flat