Fund investors paid front-end loads, moved into fee-based accounts sooner than expected, regulators alleged
CCIR, CISRO propose new guidance on the design, distribution of seg funds
Regulator settles for less disgorgement than usual, given inability to pay
Group seeks harmonized requirements to facilitate buybacks
Judge hands down sentence in insider trading case brought in 2015
Firm failed to fully investigate potentially manipulative trading by an ex-employee
Regulator found bank accounts frozen during an investigation had been depleted
Panel orders more than US$50M in disgorgement, plus $5M in penalties and costs
Exchange seeks change to dark trading price improvement rules, feedback on unintentional crosses
Firms failed to ensure that investors got fund fee rebates, waivers