Firm breached rules by implying regulators endorsed ratings
Review flags conflict, independence shortcomings in private asset valuations
Much of the industry's involvement may be outside the SRO's perimeter
Risky firms, crypto platforms add to compliance division's workload
Tech advantages always prove short lived in the stock markets, report suggests
Offering generic or limited practice-building tools can lead to displeased advisors
European regulators call for enforcement action on compliance failures
Regulator seeks to extend regime to portfolio managers
Broker conflicts, finfluencers, gamification among regulators' priorities
Regulator aims to bolster investor protection, modernize rules
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