Regulation

Former PI exec fined, banned in Ng fraud Fallback Image Decorative pattern

Regulation

Former PI exec fined, banned in Ng fraud

Firm's executive aided Ng's scheme to raise funds with falsified collateral

By James Langton |February 6, 2024

2 min read

U.S. investor advocates take aim at RIA arbitration U.S. investor advocates take aim at RIA arbitration

Regulation

U.S. investor advocates take aim at RIA arbitration

Firms use forced arbitration to discourage clients from pursuing complaints

By James Langton |February 2, 2024

3 min read

BigTechs’ foray into financials draws scrutiny BigTechs’ foray into financials draws scrutiny

Regulation

BigTechs’ foray into financials draws scrutiny

European regulators worry about oversight weaknesses

By James Langton |February 2, 2024

2 min read

Letter: Rules don’t stop bad actors Letter: Rules don’t stop bad actors

Regulation

Letter: Rules don’t stop bad actors

A reader writes that overzealous regulation can have unintended consequences

February 2, 2024

2 min read