Home James Langton

Firm failed to fully investigate potentially manipulative trading by an ex-employee

  • December 23, 2024 December 23, 2024
  • 09:10

Regulator found bank accounts frozen during an investigation had been depleted

  • December 20, 2024 December 20, 2024
  • 17:16

Panel orders more than US$50M in disgorgement, plus $5M in penalties and costs

  • December 20, 2024 December 20, 2024
  • 16:53

Exchange seeks change to dark trading price improvement rules, feedback on unintentional crosses

  • December 20, 2024 December 20, 2024
  • 14:44

Firms failed to ensure that investors got fund fee rebates, waivers

  • December 20, 2024 December 20, 2024
  • 13:11

Bill Hwang sentenced over hedge fund collapse that torched Wall Street

  • December 20, 2024 December 20, 2024
  • 13:03

Trio of firms sanctioned for regulatory reporting issues

  • December 20, 2024 December 20, 2024
  • 12:39

ETF net sales set a year-to-date record

  • December 20, 2024 December 20, 2024
  • 12:15

Father, son duo plead guilty to securities fraud, conspiracy charges

  • December 20, 2024 December 20, 2024
  • 09:36

SRO sets out common requirements, contemplates shift to annual CE cycle

  • December 19, 2024 December 19, 2024
  • 15:37