Anti–money laundering rules provide greater investigative powers and allow higher penalties
The regulator will offer civil and criminal immunity for ratting out insider trading and market manipulation
The regulator says it will contact clients directly as part of compliance reviews
A tip that generated SEC and DoJ enforcement action has garnered two financial awards
Firm self-reported violations, took remedial action and is seeking EMD status
Regulator pays out another US$3 million for enforcement help
The regulator reminded insurers to watch over agents, including MGA reps
Poor advice and fees for no advice prompt client compensation
Inactive company saw trading spike amid online chatter
A hearing panel ordered a penalty that was lower than what enforcement staff sought