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Fraudster captured

Clients' assets misappropriated rather than invested, U.S. authorities charged

Conceptual image of micro circuit Security concept

Firm rejects regulator's allegations, cites political motive for action

Cat and computer

SEC sanctions Stoner Cats creator over NFT sales

Indian Couple Meeting With Financial Advisor At Home

Investment advisers violated revised marketing rules, regulator alleges

Gavel

Regulators' year in review also detailed crypto oversight, CFR sweep

  • By: Staff
  • September 7, 2023 September 7, 2023
  • 13:14
Checking monthly activities and appointments at the office

The exemptions were previously slated to end on Nov. 30

pick-pocket

Back-office snafu meant clients didn't get discounts on standard fees

Disclosure form

New rules aim to improve transparency, investor protection in private fund market

Magnifying glass on document

Nomura Securities agrees to trading misconduct penalties in non-prosecution agreement

Wooden gavel used by a judge or auctioneer

Proposal would allow enforcement money to be used for IT projects and new innovation office