Settlement to address series of retail, institutional compliance issues
Firm, founder overstated its reliance on ESG considerations, regulator alleges
Social media scheme allegedly netted US$100 million in illicit profits
Trading models secretly changed to boost performance, compensation
Regulator to be quicker to use monetary penalties, add AI to risk management duties
Trade group says extended trading brings risks alongside rewards
Investors lost US$50M in alleged Ponzi scheme: SEC
FCA charges three for allegedly touting risky CFDs on social media
Conduct standards, suitability requirements revised
Investors lost US$36.9 million to global fraud, money laundering scheme