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Multiple actions connected to Shield Master Fund taken by ASIC
Actions against eight parties relating to the failure of the Shield fund were taken during week 35.
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Broker settles with FINRA for unsuitable recommendations involving REITs, BDCs
The SRO’s action directed toward an individual aligns with the Trump Administration’s focus on individual bad actors and not their employers, when possible.
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SEC to focus on navigating risk, reform, and retail protection in 2026
SEC targets protection of retail investors amid rising complexity in crypto, private markets, and foreign-linked disclosures.
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OPINION: LOLs and liabilities – can investment firms doge the dangers of meme coin investing?
Meme coins like Doge appear to have moved beyond the fringe of internet culture and closer towards the mainstream investment world.
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ASIC roundup: Charges in Telegram pump and dump group, and permanent ban
The Australian Securities & Investments Commission’s latest actions and news, June 9 – 13, 2025.
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How Blackstone and its biggest rivals are drifting apart
The largest private equity group is sticking to a fee-based approach, while Apollo and KKR embrace insurance-powered models.
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FIN-FSA issues combined €1m penalty payment on Alexandria Group Plc
The company failed to obtain required information about clients before providing investment advice.
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Spotlight on ambitious UK government proposals to use pensions for growth
Three sets of government proposals have the potential to shake up the industry and promote growth.