Investor protection

Regulation

Ex-fund manager lands in jail

May 17, 2023 James Langton
Hands behind bars
Regulation

Bridging execs rebuffed by court and tribunal

May 17, 2023 James Langton
Judge looks at papers
Regulation

ESMA seeks to curb investors’ fund costs

May 17, 2023 James Langton
Europe stacks
Regulation

Advisor chargebacks need robust controls, regulators say

May 15, 2023 James Langton
rules and regulations
Regulation

Rep used fake account, loans to steal from client

May 12, 2023 James Langton
Regulation

IOSCO issues new guidance for ETF regulation

May 12, 2023 James Langton
Extreme closeup of an annual report -- based on the "portfolio facts," the fund is a 100% stock mutual fund
Regulation

FINRA to firm: Get out!

May 12, 2023 James Langton
Sign on the building of Financial Industry Regulatory Authority, or Finra, in Manhattan NYC lower financial district downtown, businessman man walking stock photo
Regulation

Decision that put certain investors at head of line in Bridging receivership faces appeal

May 12, 2023 James Langton
Regulation

MX fines firm for weak controls

May 12, 2023 James Langton
Regulation

IOSCO tackles SPAC boom concerns

May 10, 2023 James Langton
Inspecting papers
Regulation

Man jailed for tipping in first-ever crypto insider trading case

May 10, 2023 James Langton
Crypto money
Regulation

ASC sanctions operator of failed trading scheme

May 10, 2023 James Langton