Risky firms, crypto platforms add to compliance division's workload
SEC, DoJ allege Citron Research, and its founder, misled investors
U.K. regulator fined Coinbase company £3.5 million for compliance violations
Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more
Weaknesses in position reporting uncovered in compliance review
Short-term cash advances exploited in market manipulation
Tip helped, but SEC rules that compliance staff sparked investigation
Constitutionality of regulator's investigative tools upheld on appeal
Self-regulatory organization reported year-over-year decline in decisions and sanctions
Regulators expected to get tough on non-compliance with climate-related obligations