The US regulator is inquiring into how investment advisers assess third-party custodians used to hold clients' crypto assets.
February 2, 2023The rules will implement the requirements of the Financial Products and Services Consumer Protection Act, which passed in May last year.
January 31, 2023Operators of platforms offering execution-only services in direct plans offered by mutual funds would have to register with SEBI, AMFI or stock exchanges.
July 31, 2022The FSS said an increase in manpower and an expansion of the unit's scope are needed to strengthen its capacity to respond to unfair trading practices in the capital market.
January 17, 2022Lawyers, real estate agents, investment advisers, and bank employees have repeatedly facilitated money laundering through US real estate by HNWIs and PEPs.
August 13, 2021Many financial firms may be offering ESG products only because it is lucrative to do so, says SEC commissioner Hester Peirce.
April 15, 2021The task force’s initial focus will be to identify material gaps or misstatements in issuers’ disclosure of climate risks under existing rules.
March 8, 2021Unlicensed advisers are barred from giving one-on-one investment advice to clients, but chat rooms have been serving as platforms for illegal consulting.
October 27, 2020The guidelines, finalised in July, require investment advisors to only offer either advisory or distribution services to a client, but not both.
September 30, 2020A presidential working group which includes the chairmen of the SEC, CFTC and Fed has recommended changes to US listing rules to require access to companies' audit papers.
August 8, 2020