A series of recent rulings by the U.S. Supreme Court (SCOTUS) shifting power from regulators to the courts will lead to increased...
CN Editor
July 15, 2024
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
EXEC USED EX-WIFE"S ACCOUNTS FOR INSIDER TRADING: SEC
INVESTOR CLASS-ACTION SETTLEMENT APPROVED
FIRM LOGGED INTO ACCOUNTS TO APPROVE FEES: SEC
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BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS
FORMER BROKER CHARGED IN "FREE RIDER" CASE