SEC
Ex-Beaufort Securities investment manager pleads guilty
To conspiracy to commit securities fraud and violating Fatca
US regulator eyes advertising rules change for advisers
And plans to further protect investors when it comes to adviser relationships with solicitors
Raymond James to pay $15m for overcharging US investors
Retail clients overpaid fees because firms failed to review accounts
Seven US states sue regulator over client transparency policy
They argue that retail clients are still exposed to potential harm
US SEC and lawyers seek more time in case against ex-DeVere duo
Request for information submitted to Malta’s attorney general by counsels for the defence