OANDA, New York based forex trading serving provider recently revealed in an announcement that it has made a new addition to its APAC region senior level leadership team. As per statement released by the firm…
New Best Interest Standard Discussed
Regulation Best Interest is the new SEC rule designed to make sure that brokers act in their client’s best interest, but this rule is 1,363 pages. FINRA, the Financial Industry Regulatory Authority’s, Chief Legal Officer…
SEC Charges Medical Device Company With FCPA Violations
The Securities and Exchange Commission today announced that Fresenius Medical Care AG & Co KGaA (FMC) has agreed to pay more than $231 million to resolve parallel SEC and U.S. Department of Justice investigations related…
SEC Charges College Official for Fraudulently Concealing Financial…
The Securities and Exchange Commission today charged the former controller of a New York-based not-for-profit college with defrauding municipal securities investors by fraudulently concealing the college’s deteriorating finances. According to the SEC’s complaint, in recent…
Investment Adviser Charged With Stealing Millions From Private…
The Securities and Exchange Commission today revoked the registration of a Seattle area-based registered investment adviser and barred its principal from the securities industry for stealing money from a private fund the adviser managed. The…
SEC Charges New Jersey Man With Fraudulently Causing…
The Securities and Exchange Commission today filed charges against the former chief operating officer (COO) of a Commission-registered investment adviser for aiding and abetting the advisory firm’s actions to overbill its clients as part of a…