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Keyword: Investor protection

1645 results found

Regulator signals halt to its legal defence of tougher climate rules

Court settlement

$30 million deal requires court approval, set for March 26

Computer tapping

Demand for advice, strong markets to drive growth in client assets

saving money

Regulator defends its conduct in 'mini-bond' investigations

Judge makes ruling

Fund investors don't need to allege fraud, court finds

Crypto coins

Agency releases documents showing past resistance to banks' crypto efforts

changes ahead sign

Regulator slims its roster of task forces, signals shift in focus

Sign on the building of Financial Industry Regulatory Authority, or Finra, in Manhattan NYC lower financial district downtown, businessman man walking stock photo

Investors didn't get paid for lending securities, SRO alleged

Dogecoin

DoJ alleges that DeFi protocols exploited for US$65 million in crypto

Pile of cryptocurrency coins

Sanctions needed to level playing field with crypto firms that are complying