Scheme raised funds to finance diamond exploration
The mutual fund representative said he didn't intend to admit to misconduct
Four Cyprus-based firms can no longer sell contracts for difference to U.K. investors
Settlement includes sanctions, disgorgement and market bans
Proposed model act provides template for state whistleblower laws
Regulator promises vigilance during pandemic
How to avoid the most common legal and regulatory infractions
The regulator has banned a rep who forged a passing grade after thrice failing a proficiency course
Accused fled to Canada in 2017 to escape U.S. justice
Three former KPMG partners suspended for sharing answers to firm's exams