Debt issuance surges, equity market activity slides in 2024, LSEG reports
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
ETF net sales set a year-to-date record
Father, son duo plead guilty to securities fraud, conspiracy charges