SEC, DoJ charge eight over social media driven pump-and-dumps
The bank settled with U.S. and Danish authorities over breaches
The criminal indictment is on top of civil charges from the SEC
Whistleblower was awarded US$20 million
Weaknesses in firms' practices uncovered in compliance exams
Focus on greenwashing has heightened regulatory risk for ESG funds, managers
Tipster gets US$20 million despite involvement and delay in reporting
U.S. authorities allege Quebec firm used in market manipulation
Firm agrees to pay $US4 million to resolve charges that it didn't follow ESG policies
Side business allegedly enabled billions of stock trades