Measures aim to address lessons of market turmoil in early 2020 and 2022
The SEC sanctioned the firm for violating whistleblower protections
FCA forms working group to enhance advisor expertise in sustainable investment
SEC approval clears the way for mainstream industry to get into crypto, but risks remain
Regulators allege Axia Project misled investors with unregistered offering
Trio traded on inside information about pending mergers and acquisitions
Boosting defences to deal with vastly more powerful tech poses a challenge, Fitch says
Firm and executive settled charges with SEC, SDNY
Self-regulatory organization proposes new settlement obligation and expanded guidance
Guards against "fat finger" error to face regs’ scrutiny