By Bruce Carton2015-12-23T11:00:00
SEC Commissioner Luis A. Aguilar will depart the SEC at the end of this month after serving as a commissioner for over seven years. With his last day at the SEC quickly approaching, Commissioner Aguilar posted an interesting statement on the SEC's website this week in which he shared some ...
2025-11-14T22:59:00Z By Neil Hodge
The U.K. has set out a new blueprint for AI regulation, which aims to slash bureaucracy and ramp up the safe adoption of new and emerging technology to unlock potential and boost investment.
2025-11-10T21:16:00Z By Adrianne Appel
The former U.S. chief compliance officer of hedge fund firm Capula Investment Management has blown the whistle against his former employer, alleging he was terminated for raising concerns about improper expensing practices.
2025-11-07T22:18:00Z By Adrianne Appel
First Trust Portfolios has been fined $10 million by FINRA for allegedly providing excessive meals, gifts, and other incentives to broker-dealers.
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