Industry

Tip to SEC was slow to come but still worth millions

The SEC paid US$3.2 million for tip and ongoing assistance, in spite of delay in coming forward

By James Langton |April 23, 2021

1 min read

Hedge fund founder duped investors, allege U.S. authorities

Criminal and civil charges are based on allegations that a fund manager deceived investors, misappropriated assets

By James Langton |April 23, 2021

1 min read

Work-from-home risks for advisors

At the FMFD's digital conference, a litigation expert discussed data privacy tips and why communication with seniors is paramount

By Michelle Schriver |April 23, 2021

3 min read

CFTC has collected more than US$1 billion in sanctions via tipsters

The agency has awarded whistleblowers US$123 million since 2014

By James Langton |April 23, 2021

1 min read