Edward Jones to pay US$17 million in NASAA settlement
Fund investors paid front-end loads, moved into fee-based accounts sooner than expected, regulators alleged
- By: James Langton
- January 9, 2025 January 9, 2025
- 09:30
Fund investors paid front-end loads, moved into fee-based accounts sooner than expected, regulators alleged
Regulator settles for less disgorgement than usual, given inability to pay
Judge hands down sentence in insider trading case brought in 2015
Real estate complaints accounted for more than 70% of the total number
Investors lost US$40 billion in the crash of Terraform Labs’ cryptocurrency
Kwon was charged in the U.S. with fraud over a US$40-billion crash of Terraform Labs’ cryptocurrency, which devastated retail investors around the world
Fee increases are between 1.6% and 2.85%, effective Jan. 1
New laws were passed in June requiring companies to substantiate environmental claims
Chief actuary says LifeWorks did not "respect the textual indications of the legislation"
Firm failed to fully investigate potentially manipulative trading by an ex-employee
Regulator found bank accounts frozen during an investigation had been depleted
Panel orders more than US$50M in disgorgement, plus $5M in penalties and costs
Exchange seeks change to dark trading price improvement rules, feedback on unintentional crosses
Firms failed to ensure that investors got fund fee rebates, waivers
Bill Hwang sentenced over hedge fund collapse that torched Wall Street
Trio of firms sanctioned for regulatory reporting issues
Father, son duo plead guilty to securities fraud, conspiracy charges
SRO sets out common requirements, contemplates shift to annual CE cycle
Hacking eased in second half, as North Korean attacks dropped
Report sets out recommendations for addressing risks posed by leverage build ups
ESMA consults on code of conduct to encourage issuer-sponsored research
IOSCO members launch group to support ISSB standards adoption