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SEC, European Commission take co-ordinated action

Retail Strategy Task Force will develop initiatives to identify misconduct impacting retail investors

Some professional awards and designations provide little basis on which to judge the abilities of the advisor, SEC investor bulletin says

Fraud schemes may involve stocks of companies that claim to engage in initial coin offerings

SEC’s Office of Investor Education and Advocacy tackles the shortening of the settlement cycle

Court rules in favour of labour-sponsored venture fund against fund manager

Joe Yiu Cheung has agreed to pay almost US$800,000 and to be banned permanently from dealing with penny stocks

New threats present cybersecurity risks for financial services firms

Government watchdog says regulator’s failure to implement recommendations puts financial systems at risk

U.S. whistleblower awarded US$2.5 million

The corporate insider, who tipped off U.S. securities regulators to the alleged fraud, is the second whistleblower the SEC has awarded this week

The regulator has advised that it considers offers of digital assets utilizing blockchain technology as securities

U.S. whistleblower awarded US$2.5 million

Tips, plus documents and testimony, led to the award