The regulator’s whistleblower program, which pays for information resulting in significant enforcement action, has awarded more than US$179 million to 50 whistleblowers thus far
The U.S. regulator has frozen the assets of Dominic Lacroix and his Quebec-based company, PlexCorps
Account takeovers are a growing threat to retail investors, U.S. regulator says
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
Joe Yiu Cheung has agreed to pay almost US$800,000 and to be banned permanently from dealing with penny stocks
Government watchdog says regulator’s failure to implement recommendations puts financial systems at risk