Regulator settled with Rio Tinto, former CEO in 2023
Risk of retail investor harm from poor controls, disclosure, review finds
Preventing communication with clients could harm regulatory compliance
Class action brought on behalf of full-service clients with funds that paid trailers
Customers paid higher fees, got less interest on cash balances: FINRA
Market more important than experts in establishing materiality, court says
Provincial regulator can halt trading when misinformation circulates
ESMA review finds ESG funds changing names, portfolios to align better
U.K. regulator's proposals aim to support innovation while protecting consumers
Association also tightens compensation disclosure requirements