Retail investors will have some protections, but not contingency fund coverage
Tribunal's finding that 2004 trading ban was breached is upheld on appeal
Regulator proposes first update to conflict compliance in over 20 years
Regulators propose changes to harmonize with SEC rules, ease restrictions
Volume of cases stable, but dollars at stake up sharply in 2025, report finds
Family hid more than US$90M in income and assets in offshore accounts
Review found gaps in controls including data oversight and governance
Regulator alleged that ex-deputy CEO of French fund firm misled its investigation
Compliance division's annual report details exam findings at directly regulated firms
SRO meeting terms of recognition order, three issues flagged by regulators