FinReg

Stefan He Qin Stole and Dissipated Nearly All the Assets of His $90 Million Flagship Hedge Fund and Attempted to Steal Millions of Dollars from a Secondary Fund to Pay Back Investors

SEC charged three individuals and their affiliated entities with running a Ponzi-like scheme that raised over $1.7 billion from securities issued by a New York-based asset management firm and registered investment adviser, GPB Capital.

In a year when a pandemic gripped the world, beginning and experienced retail investors flocked to the stock market using taxable, non-retirement investment accounts, according to new research by the FINRA Investor Education Foundation (FINRA Foundation) and NORC at the University of Chicago.

MAS and Singapore Exchange Regulation advise the investing public to be on heightened alert to the risks related to trading in securities incited by online discussion forums and social media chat groups.

SEC charged three individuals with defrauding hundreds of retail investors out of more than $11 million through two fraudulent and unregistered digital asset securities offerings.

Search engine giant Google (GOOGL) threatens to remove Google search engine from Australia after the Aussie government prepares a new law that will ask the company to share royalties with publishers.

The Monetary Authority of Singapore (MAS) today issued revised Technology Risk Management Guidelines (578.7 KB) (Guidelines) to keep pace with emerging technologies and shifts in the cyber threat landscape

The Office of the Comptroller of the Currency (OCC) today announced it has assessed a $3.5 million penalty against James Strother for his role in Wells Fargo Bank, N.A.'s systemic sales practices misconduct.

After many years of preparation, 2021 is the critical year for firms to complete their transition away from LIBOR.

The FCA is aware that some firms are offering investments in cryptoassets, or lending or investments linked to cryptoassets, that promise high returns. Investing in cryptoassets, or investments and lending linked to them, generally involves taking very high risks