Investor protection

From the Regulators

U.K. regulators seek to boost diversity, combat groupthink

September 25, 2023 James Langton
diversity
From the Regulators

U.S. fund industry slams new SEC fund-name rules

September 20, 2023 James Langton
Inspecting papers
From the Regulators

Ex-broker pleads guilty in crypto fraud case

September 20, 2023 James Langton
Robber captured
From the Regulators

Former U.S. congressman gets jail for insider trading

September 19, 2023 James Langton
A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t
From the Regulators

CFTC rewards pair of tipsters

September 19, 2023 James Langton
whistleblower
From the Regulators

Task force issues disclosure recommendations for nature, biodiversity risk

September 19, 2023 James Langton
natural environment
Newspaper

Regulators mull redemption fees for investors who sell during market stress

September 18, 2023 James Langton
stock market
Comment & Insight

Enforcement money should be spent on investors

September 18, 2023 IE Staff
Banks on money pile
News

IOSCO warns of hidden risks in private loan markets

September 14, 2023 James Langton
Boardroom discussion
News

SEC alleges Virtu failed to guard client data

September 13, 2023 James Langton
Ontario teams up with Israel to tackle cybersecurity in financial services
News

Dude, where’s my enforcement action?

September 13, 2023 James Langton
Cat looking at screen
News

Trade groups take on SEC custody reforms

September 12, 2023 James Langton
rules and regulations