Effective Jan. 1, "mini-bonds" cannot be marketed to retail investors in the U.K.
The banking giant resolved the case for £43.9 million
The broker also facilitated manipulative trading in a U.S. company, authorities said
Question raised about whether BCSC had jurisdiction
Retail investors allegedly paid fees for active management they did not receive
SEC also enjoyed a record level of co-operation in its enforcement efforts
A 40-month prison sentence "underscores the seriousness" of the crimes, lawyer says
The advisor had been in the industry for 30 years
The relationship with IIROC may change how firms approach OBSI inquiries, a letter says
Three victims of fraud notified SEC of scheme targeting retail investors