The new regime aims to ensure that senior managers can be held accountable for any misconduct that occurs on their watch
US$5.2 million will be distributed to clients, SEC says
Federal regulator offers feedback on banks’ ICAAP submissions
U.S. regulator levies record fine against alternative trading system
DWM Securities advisors sold exempt funds to hundreds of clients who didn’t qualify for a prospectus exemption
U.S. authorities accuse group of profiting on hacked press releases
Two directors fined
The fake documents purporting to be from the U.S. regulator demand money from victims for fictitious securities law violations
The fact Keith Henry Alexander lost his own money in the scheme and paid back $143,000 to other investors were mitigating factors in the settlement
Although all three advisors were found to have conducted improper outside business, two were noted for their failure to co-operate with the regulator
U.S. regulator aims to protect investors and enhance integrity of the market
Companies will be permitted to select the methodology for identifying their median employee and for calculating that employee’s compensation
The firm has been prohibited from receiving confidential supervisory information
Alleged unregistered penny stock sales and violations of anti-money laundering rules stemmed from supervisory failures
A settlement was reached with Allan Voight and his firms, including injunctions and civil penalties
SEC reveals alleged scheme to conceal ownership of microcap company
The review will look for ways to make financial advice work better for consumers and fill the so-called “advice gap”
U.S. regulator holds annual general meeting
More research needed to determine whether this creates a cause for concern among regulators
Proposals out for comment until Sept. 4
Firm failed to properly supervise mutual fund rep
Many jurisdictions are still in the process of amending their regimes
Progress has been uneven across the industry
Global securities regulators to tackle emerging issues
Plans from AIG, Prudential need more detail, agencies say