The settlement follows the firm's liquidation last year
The NSSC and FCNB published a consultation paper on possible governance reform
The U.K. regulator unveiled a three-year strategy to combat an array of investor harms
Transparency helps clients better understand the advisory relationship
IOSCO sets guidance on overseeing AI use for investment firms, asset managers
The regulator issued more administrative sanctions in 2020–21 than the previous year but monetary sanctions were way down
Product shelves at some banks are changing thanks to the client-focused reforms
Editorial: There’s a lot to do, and much of it is easier said than done
Regulators concerned about blurring lines between engagement and advice
The ruling includes investment limits, disclosure rules and regulatory reporting conditions