Firm failed to reveal conflicted fee payments, regulator charged
Whistleblower first reported suspected misconduct internally, regulator said
Back-office snafu meant clients didn't get discounts on standard fees
New rules aim to improve transparency, investor protection in private fund market
New rule sharply narrows prop traders' SRO exemption
Nomura Securities agrees to trading misconduct penalties in non-prosecution agreement
Robo-advisor violated rules when touting hypothetical performance
Authorities allege investors were defrauded with false promise of lucrative private shares
Company went public in a de-SPAC transaction following the audit
Firm tried to hide the fact that cryptoassets represented securities, regulator charged