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FINRA fines Deutsche Bank $2.5m for disclosure, supervisory failures
Conflicts of interest in research reports have potential to influence content of reports, including investment recommendations, ratings, etc.
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FINRA fine on broker-dealer spotlights supervisory controls
The broker-dealer was cited for compliance violations, including failures related to Reg BI, email retention, and the supervision of outside business activities.
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In the name of love – managing workplace relationships
HR and legal experts weigh in on the ramifications of rules, compliance, and enforcement regarding romance in the workplace, especially when a subordinate is involved.
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FCA’s car finance redress estimates deemed too high
Millions of customers of motor finance schemes are expected to start receiving compensation from banks and lenders next year.
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How prediction markets are shaking up sports gambling in America
Kalshi is spearheading a legal battle to expand access to online betting, with support from some in Trump’s circle.
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Meridian Financial must pay $75,000 over Marketing Rule violations
The company claimed in an ad that it “refuse[d] all conflicts of interest” without providing context, the SEC said, among other charges.
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SEC fines Vanguard, Empower for misleading statements, conflicts of interest
Vanguard and Empower allegedly created conflicts of interest by incentivizing advisers to steer clients toward fee-based services, minus the requisite disclosure.
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ASIC roundup: Dishonest conduct, and bannings
The Australian Securities & Investments Commission’s latest actions and news, July 28 – August 1, 2025.