11 charged over $300m global crypto Ponzi scheme
Four of the defendants were last known to be living in Russia, Georgia and Indonesia
SEC
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US insurer to pay $50m for misleading annuity clients
Regulator finds firm gave ‘false impression’ that quarterly statements listed all fees
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UBS to pay $25m to settle fraud charges
Bank failed to share data with advisers and clients about significant risk in a ‘complex investment strategy’
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Investment firm charged over selling high-risk bonds to retirees
Products were ‘only suitable for customers with substantial financial resources’
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US warns wealth managers of Russian cyberattacks
Financial regulators have echoed those concerns in notices to the public
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US regulator fines 12 firms for regulatory breaches
It has now charged 42 companies for failing to meet client reporting obligations
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SEC charges adviser for role in multi-million-dollar scheme
Clients were allegedly told to invest their money into gold and silver coins
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Regulator charges ex-UBS adviser with stealing $5.8m from client
He allegedly spent most of the money on ‘gifts for several women with whom he had romantic relationships’
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$18m Ponzi scheme couple charged
Alongside five other entities used to receive investor funds
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Adviser charged for running $110m Ponzi scheme
Money was raised from over 400 investors – including elderly retirees
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Will UK qualification scheme open up the US wealth market?
‘People across financial services will keep a close eye’ on trade negotiations between the countries
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SEC cracks down on firms over regulatory breaches
US watchdog fines 27 firms nearly $1m for failing to meet requirements