FCA to revive research bundling
Regulator aims to ease asset managers' access to investment research
- By: James Langton
- April 10, 2024 April 10, 2024
- 15:26
Regulator aims to ease asset managers' access to investment research
BCSC returns nearly $40,000 to investors who lost much more
Regulator publishes first examination of opaque market segment
Industry trade groups line up behind U.K.'s call for move by 2027
Industry divided on, investor advocates opposed to, reforms
Settlement includes 20-year market bans, monetary sanctions
Firm failed to adequately oversee rep's risky trading strategy, CIRO says
Regulator suspends firm and agents amid alleged misconduct
Terms of firm's sale weren't fully disclosed to regulators
The rule is pending review in the U.S. Court of Appeals for the Eighth Circuit
OneCoin scheme took in over US$4 billion from investors, U.S. authorities allege
Off-channel communications hamper regulatory oversight
Expansion of business lines multiplies conflicts and regulatory challenges
Crypto firm to pursue full dealer and ATS registration, plus SRO membership
Consultation paper on test environment for trading, clearing digital assets will be open for feedback until May 29
Involvement with crypto amounted to undisclosed outside business activity, personal financial dealings
Regulator failed to meet burden of proof on all counts
Trader placed numerous potentially misleading orders in bond futures
First oversight review finds SRO complying with recognition order
FINRA starts providing data on individual transactions
Crypto entrepreneur's massive fraud unraveled with the collapse of FTX
Regulator reports results of first supervisory reviews at planner/advisor titling organizations
Question of whether client used stop loss orders requires hearing, court rules
Regulator aims to bolster investor protection, modernize rules