Clients' assets misappropriated rather than invested, U.S. authorities charged
Firm rejects regulator's allegations, cites political motive for action
SEC sanctions Stoner Cats creator over NFT sales
Investment advisers violated revised marketing rules, regulator alleges
Regulators' year in review also detailed crypto oversight, CFR sweep
The exemptions were previously slated to end on Nov. 30
Back-office snafu meant clients didn't get discounts on standard fees
New rules aim to improve transparency, investor protection in private fund market
Nomura Securities agrees to trading misconduct penalties in non-prosecution agreement
Proposal would allow enforcement money to be used for IT projects and new innovation office