Over $3.4 million of investors' money was diverted to undisclosed uses, regulators found
European regulator said violations involved conflicts of interest
Firms allegedly made misleading statements about their use of AI in investing strategies
SRO brings first case following compliance review targeting firms' use of online influencers
Environmental organizations say U.S. regulator succumbed to industry pressure
Agency says it won’t apply gross negligence penalties for non-filing of 2023 bare trust returns except in “egregious cases”
Regulators seek to combat fund industry greenwashing risks
Industry, environmental groups gearing up for legal fight over disclosure requirements
It's AUM that matters most to managers' careers, research finds
Abusive scheme exploited consultant exemption, regulator alleged