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Famous short seller Andrew Left charged with stock manipulation scheme
The DOJ and SEC claim Left defrauded his followers by publishing false and misleading statements about his stock trading recommendations.
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FCA month in review, July 2024
Roundup of regulator’s work includes news of consultation on new listings regime and capital markets rules, plus some crypto firsts.
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London court sets 2027 dates for finfluencer trials
Seven of the nine finflueners implicated earlier this year in encouraging unauthorized transactions on social media will face trial in 2027.
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UK fintech remains strong, says report
Government and FCA support has led to massive growth.
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Latest finfluencer case sees nine charged
Charges relate to unauthorized financial promotions of FX and CFDs.
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FCA work in review April 15 – May 17, 2024
It’s been a relatively quiet period as far as FCA announcements go, so the latest in our regular series of roundups covers a month.
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Under the finfluence – the effects of social-media-driven investment
A reliance on social media for investment advice has led to some concerning results, says Howard Fischer.
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SEC charges five investment advisers in Marketing Rule enforcement sweep
The SEC charged five RIAs for Marketing Rule violations, pointing to misleading and improper hypothetical advertising in particular.