Common supervisory efforts to include digital resilience, greenwashing
Court finds platform met duty of care to investor, who ignored its warnings
Efforts to raise capital for cannabis company amounted to illegal distribution
Firms using digital engagement practices for good and ill, review finds
Firm failed to flag suspicious transactions, activity associated with Iran
U.K. government streamlining oversight of professional firms
Regulator brings series of enforcement actions, alleging bans being flouted
Move would give SRO full responsibility for registering dealers, reps
Regulator rejects the idea of "bespoke" regulation for firms
Compliance exam turns up five AML violations