Enforcement

The CFTC enters the regulatory fray over firms' use of off-channel communications for work

"AI washing, whether it's by financial intermediaries such as investment advisers and broker dealers, or by companies raising money from the public, that AI washing ...

"If an investment adviser is claiming to employ AI and offering you investment advice, or a company is making claims about incorporating AI technology in ...

'You cannot get deals if you’re not texting and your competitors are,' FirmScribe CEO says from PFCFO New York Forum.

'We are here to protect investors, and if they care, then we care,' Grewal says in Ohio State Law Journal speech

Despite the SEC having a client's email to his rep asking why he hadn't long ago been placed in a cheaper share class, the Commission ...

Be aware of a type of affinity scam called “pig butchering,” which is “derived from the process of fattening hogs for slaughter.” It's being increasingly ...

Bill St. Louis recently detailed what's on the horizon for broker-dealer enforcement in 2024

“I think Oppenheimer had an opportunity to prevent all of this from happening,” an investor says

'Scary' case should worry small- and mid-sized managers, expert says