Financial News Investment industry regulator plans to use new enforcement tools to return money directly to investors May 6, 2024 admin [ad_1] A rarely used enforcement tool that helped recover US$6-million in losses from an online trading company offers a glimpse…
Financial News Securities regulator warns investors of agency imposters, money recovery scams Dec 6, 2023 admin [ad_1] Albertans who may have fallen victim to investment fraud are being warned people could be posing as staff with the Alberta…
Financial News US Regulator Warns Brokers to Bolster Anti Money-Laundering Efforts Aug 2, 2023 admin [ad_1] NEW YORK (Reuters) – The U.S. Securities and Exchange Commission (SEC) has warned some broker dealers to strengthen policies…
Financial News UK regulator orders investment funds to manage liquidity better Jul 6, 2023 admin [ad_1] By Huw Jones LONDON (Reuters) – Some asset managers face sanctions for failing to manage liquidity properly, posing risks…