Conflict arose from allocation that generated revenue from "no fee" accounts
Regulator alleged US$14 million overcharging, settles for US$150,000 penalty
Enforcement case concluded against man convicted of insider trading
Only tokenized securities count under new guidance that also clarifies landmark legal test
Regulator seeks to limit brokers' OTC requirements to equities
Former judge leaves agency after just over six months
SRO's proposals seek to enhance regulatory efficiency
Maintenance mishap led to failure of market opening auctions
Enforcement action targets weaknesses in AML controls, compliance
Investors were falsely promised pre-IPO access, but money misappropriated