Scheme exploited trading credits offered by brokerage firms
Expanded fund reporting requirements to take effect in 2026
Regulators warn about investors being misled by inflated venture acquisitions
Compliance review uncovered weaknesses in firm's anti-money laundering processes
Echelon Partners failed to guard against clients' potentially-suspicious trading in U.S. OTC markets
Firms misled investors about risk of funds' trading strategy, regulators alleged
More than US$40M raised from investors on false promise of automated trading returns
Regulator to adopt rules that set out how workplace misconduct breaches rules
Trio of traders engaged in spoofing in government bond markets, regulator alleged
As of July 1, regulator can serve investigative summonses electronically