Firm fined $12,000 for violations involving insurance requirements
Firm resolved allegations of KYC, suitability, conflict failures
Allianz Global Investors funds hid risk, then collapsed during pandemic
Brighter earnings prospects underpin growing optimism, survey finds
Perpetrators posing as representatives of Schroders, an asset manager
Regulator seeks to extend regime to portfolio managers
Regulator aims to ease asset managers' access to investment research
Industry divided on, investor advocates opposed to, reforms
Regulator aims to bolster investor protection, modernize rules
Appeals by advisor, analyst in insider trading case dismissed