Exec sanctioned in settlement for alleged violations of derivatives rules
Settlement to address series of retail, institutional compliance issues
Firm, founder overstated its reliance on ESG considerations, regulator alleges
Social media scheme allegedly netted US$100 million in illicit profits
Trading models secretly changed to boost performance, compensation
Regulator to be quicker to use monetary penalties, add AI to risk management duties
Investors lost US$50M in alleged Ponzi scheme: SEC
FCA charges three for allegedly touting risky CFDs on social media
Investors lost US$36.9 million to global fraud, money laundering scheme
Former advisor earned nearly $1M in commissions as clients went bankrupt