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The company operated an unregistered securities platform and brokerage service, the U.S. regulator says

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New agent allegedly split commissions with ex-agent, churned those clients

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The man was also ordered to pay more than $2 million in restitution to victims

Focus on Mutual Funds Special Report

Conflict of interest concerns spark regulators' review

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The risk of misleading disclosure pervades sustainable product lineups, European regulators say

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Integrating the SROs' compliance and enforcement functions is a top priority alongside policy work

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As data transfer lags, launch date is pushed back

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SRO ordered US$48.1 million in monetary penslties in 2022

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Most of the investors' money was put into riskier projects than promised

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Market manipulation scheme run on Discord channel, regulator says