SEC
Latest news | 16 Nov 18
US regulator ups charges against New York boiler room scam
Company had already been sued for defrauding elderly investors
North America | 8 Nov 18
US to clarify guidelines for investor-adviser relationship
Many were confused by the different professional figures and the services they provide
Best Practice | 5 Nov 18
US financial watchdog charges adviser with fraud
The adviser, who accumulated $3.9m, has also pleaded guilty to criminal charges in a federal court
Legg Mason pays $71m to settle Libya bribery case
Global investment manager involved in scheme to secure investments from Libyan officials
Faulty Aegon investment models see investors get $97m refund
Work by an inexperienced junior analyst contained errors and ‘didn’t work as promised’