The bank agreed to admit wrongdoing in misrepresenting how it determined a key performance metric for its wealth management business
The program has awarded more than US$100 million to whistleblowers
Proposal shortens settlement cycle from three business days to two
Reps made unsuitable recommendations in the sale of RCNs to retail clients
Panels will discuss issues such as blockchain technology, automated investment advice and more
Erroneous orders causing numerous “mini-flash crashes”
Whistleblower awards top US$100 million
First SEC enforcement actions for auditor independence failures due to close personal relationships
Wrap programs are one of the regulator’s compliance priorities
New rule amendments aim to enhance advisor report and disclosure