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Keyword: Compliance

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Fund industry critics worry about rules' impact on liquidity, costs

Cheater

Regulator adopts tougher penalties for cheating, restrictions on rewriting

right or wrong choice

Changes come in the wake of independent review of SRO's arbitration program

social media

European regulators flag threats to investors from industry, influencers

Target hit in the center by arrow

Firms use forced arbitration to discourage clients from pursuing complaints

crypto currency regulation

Regulator to finalize new guidance by the end of 2024

Closeup of mallet being hit on stacked coins at table in courtroom

Former rep admitted to misappropriation

Judge looks at papers

Regulator calls for continuity plans at one-man shops

Magnifying glass

New rules beef up disclosure, investor protections around shell company financings

Crypto coins

Compliance review finds potential violations in 70% of firms' messages