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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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SEC whips out final orders for violations grounded in supervisory, oversight lapses
Final settlement orders announced last week include those against firms for infractions often based in compliance program lapses.
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ASIC roundup: record fine for Macquarie Bank, and A$12.9m greenwashing penalty
The Australian Securities & Investments Commission’s latest actions and news, September 23 – 27, 2024.
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ASIC roundup: Prison for insider trading, and first win on greenwashing civil penalty action
The Australian Securities & Investments Commission’s latest actions and news, March 25 – 28, 2024.
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Rush to low fees spurs bitcoin ETF competition as leading fund hits $10bn asset mark
The launch of spot bitcoin ETFs following the SEC’s approval in January has sparked fierce competition on trading fees.
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ASIC roundup: Greenwashing, unlicensed conduct and cancelled license
The Australian Securities & Investments Commission’s latest actions, July 24 – 28, 2023.
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Vanguard fined for providing misleading account statements to customers
FINRA said Vanguard failed to investigate red flags that its account statements were misleading in a reasonable, timely way.