Firm failed to adjust loan pricing to reflect impact of market turmoil
Firm breached fiduciary duty by unfairly allocating losing trades to clients
Regulator seeks suitability standards for senior industry personnel
Proposed claim alleges receiver failed to cash out of stock that hit $100 million
Association also tightens compensation disclosure requirements
Exam priorities no longer cite crypto as an emerging risk, or focus
Case to consider whether damages are owed, while data hasn't been misused
Lawsuit alleges program harms shareholder rights, stifles dissent
U.K. regulator's proposals consider operational, conduct standards for emerging sector
Conduct standards, suitability requirements revised