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  1. James Langton
    NASAA’s proposal aims to curtail the practice of advisors accessing client accounts through their clients' login information
  2. James Langton
    The offshore firm involved in the scam used images of a Canadian celebrity to draw victims in
  3. James Langton
    The regulator has advised that it considers offers of digital assets utilizing blockchain technology as securities
  4. James Langton
    Tips, plus documents and testimony, led to the award
  5. James Langton
    LedgerX registered as derivatives clearing organization
  6. James Langton
    Barclays ordered to pay $342-million penalty
  7. James Langton
    This approach aims to further enhance the regulator's accessibility and transparency
  8. James Langton
    New draft rules issued on Friday set out public disclosure requirements under the new risk-sensitive capital rules for life insurers
  9. James Langton
    The regulator’s paper follows a 2015 survey highlighting several concerns, including the management of conflicts connected with remuneration
  10. James Langton
    Although a hearing panel found Michael Sutton had no intent to violate the rules, it ruled that he failed to ensure proprietary funds were priced properly