In early 2023, banks faced unprecedented deposit outflows, and evidence suggests social media played a role
Tech, crypto schemes top threats to investors, including seniors, NASAA reports
U.K. regulator conducting criminal inquiries, issuing investor alerts
Authorities allege SIM swap enabled access to regulator's social media account
Liquidity oversight may need to evolve in the wake of March 2023 stress
PR firm's social media blunder violated securities rules, regulator alleges
Self-directed investors prioritize convenience, control, costs
Platform claimed to be decentralized, authorities allege
Risky firms, crypto platforms add to compliance division's workload
Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more