The firms admitted to failing to properly disclose ongoing mutual fund fees to clients
The lawyer failed to identify that a former client was allegedly engaging in a market manipulation
Sanctions ordered against three people and a firm
Regulator orders almost US$1 million in sanctions, disgorgement and restitution
IAP wants regulatory sanctions against individuals to apply across regional and industry jurisdictions
The company will pay US$28 million as part of a non-prosecution agreement
The group also called for fintech regulation
Firm fined US$2 million
The rewards were for three separate cases
He must also cooperate in enforcement action against other individuals involved