The regulator plans to take action against firms that engaged in misconduct
The firms admitted to failing to properly disclose ongoing mutual fund fees to clients
The lawyer failed to identify that a former client was allegedly engaging in a market manipulation
Sanctions ordered against three people and a firm
Regulator orders almost US$1 million in sanctions, disgorgement and restitution
IAP wants regulatory sanctions against individuals to apply across regional and industry jurisdictions
The company will pay US$28 million as part of a non-prosecution agreement
The group also called for fintech regulation
Firm fined US$2 million
The rewards were for three separate cases