Halifax wealth adviser Lee Harwood will pay a fine of $40K and costs of $5K for making off-book investments for various clients without authorization.
Speaking in Sweden before EuroFi, Hester Peirce argued materiality-based standards—not ESG standards—best suit investors’ needs.
US Rep. Ann Wagner (R-MO) chair of the House of Reps Financial Services Subcommittee on Capital Markets touted panel advancement of a pair of bills.
Regulatory body questions Binance.US's unlicensed operation and Voyager Digital's VGX token sales during bankruptcy hearing.