Topic
securities-enforcement
2 stories related to this topic, newest first.
americanbanker.combusiness39 days ago
Agency Can Collect Ill-Gotten Gains Without Showing Victim Loss
A federal court ruled that an independent financial regulator may recover money obtained through violations even when no victim loss is proven. The decision was issued unanimously.
businesstoday.infinance49 days ago
China Regulator Opens Cases Against Three Offshore Brokerages
China’s securities regulator opened enforcement actions against Futu, Tiger Brokers, and Longbridge Securities for serving mainland investors without approval. The measures include a two-year wind-down period and proposed fines totaling hundreds of millions of yuan.
ZE