SEC
$18m Ponzi scheme couple charged
Alongside five other entities used to receive investor funds
Adviser charged for running $110m Ponzi scheme
Money was raised from over 400 investors – including elderly retirees
Will UK qualification scheme open up the US wealth market?
‘People across financial services will keep a close eye’ on trade negotiations between the countries
SEC cracks down on firms over regulatory breaches
US watchdog fines 27 firms nearly $1m for failing to meet requirements
UBS fined $8.1m over ETP sale compliance failures
‘Advisory firms must protect clients from inappropriate investments in complex products’