Protecting harmed investors involves more than covering financial losses.
Federal prosecutors in the U.S. are on the cusp of laying criminal charges in a case centring on confidential information leaked by a Federal Reserve Bank of New York employee to a former colleague who had taken a job at Goldman Sachs.
If you read as many FINRA decisions as Bill Singer, you’ll come across some real doozies.
The SEC has charged credit rating agency DBRS Inc. with misrepresenting its surveillance methodology for ratings of certain complex financial instruments during a three-year period.
In the fiscal year that ended in September, the SEC filed 807 enforcement actions covering a wide range of misconduct, and obtained orders totaling approximately $4.2 billion in disgorgement and penalties.
The OSC Dialogue was held yesterday in Toronto. One panel brought together regulators and market participants to address key challenges related to market liquidity risk.
Greed has a way of preventing people from performing the simplest forms of due diligence.
A U.S. economist working for the left-leaning Brookings Institution stepped down after being called out by Senator Elizabeth Warren for an apparent conflict of interest.
On September 24, 2015, a three-member hearing panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada heard three separate proceedings.
The arrival of robo-advisors in Canada has prompted CSA to clarify that its rules are "technology-neutral"