Investor protection

News

Ex-SEC commissioner tapped to lead agency

December 4, 2024 James Langton
announcement
News

Securities industry’s systemic risk worries ease

December 4, 2024 James Langton
Fraud
News

After attack on Hiroshima client, Nomura tightens controls

December 3, 2024 James Langton
News

ASIC reports on industry complaint handling

December 3, 2024 James Langton
The Australian Coat of Arms in metal hangs on the glass wall of a building that reflects another high-rise across the street.
News

Robo advisor sanctioned over CFR shortcomings

December 3, 2024 James Langton
News

The wild west of crypto enforcement

December 2, 2024 James Langton
Pile of cryptocurrency coins
News

Ex-fund rep fined, banned over theft

December 2, 2024 James Langton
MFDA hearing panel finds W.H. Stuart, co-founder violated industry rules
News

The evolution of trading poses regulatory challenges

November 29, 2024 James Langton
News

Former fund rep sanctioned for SRO rule breaches

November 28, 2024 James Langton
whistleblower
News

Bridging investors may finally see some money

November 28, 2024 James Langton
Banks on money pile
News

FCA backs away from enforcement disclosure plans

November 28, 2024 James Langton
Big Ben
News

FCA reveals roadmap to crypto regulation

November 27, 2024 James Langton
Crypto currency