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Keyword: Enforcement

1566 results found
United States flag with Bitcoin cryptocurrency

BitMEX settles with CFTC, U.S. Treasury for registration and anti-money-laundering violations

  • August 10, 2021 August 10, 2021
  • 15:57
tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

Regulator proposes guidance on enhancing enforcement transparency

businessman in a desk with financial advisor nameplate

FCNB launches consultation to address investor confusion surrounding industry titles

Bitcoin

Regulator secures orders against crypto promoters

vintage microphones

A popular trading platform has settled allegations that it violated rules as an unregistered exchange

Business lawyer team. Working together of lawyer in the meeting.

PwC will hold a two-stage sale for the fund manager and its assets

Block letters spelling fraud, with magnifying glass

The alleged schemes generated over US$1 billion in penny stock sales

Whistleblower

The SEC has given out approximately US$950 million to 193 whistleblowers since 2012

  • By: IE Staff
  • August 6, 2021 August 6, 2021
  • 15:17
Business lawyer team. Working together of lawyer in the meeting.

After an advisor's death, his clients complained about trading activity in their accounts

  • By: IE Staff
  • August 4, 2021 August 4, 2021
  • 16:59
Business lawyer team. Working together of lawyer in the meeting.

The certification body released its annual statistics, achievements and priorities

  • By: IE Staff
  • July 30, 2021 July 30, 2021
  • 16:52