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…
IIROC Enforcement Report Highlights Progress Made in Enhancing…
May 11, 2020 (Toronto, Ontario) – The Investment Industry Regulatory Organization of Canada (IIROC) today released its annual Enforcement Report, which includes highlights of key cases prosecuted and the progress in enhancing its legal authority…
CFTC Division of Enforcement Issues 2019 Annual Report
Washington, DC — The U.S. Commodity Futures Trading Commission’s Division of Enforcement (DOE) today issued its Fiscal Year (FY) 2019 Annual Report. The second annual report highlights the division’s success prosecuting the most pernicious forms…
Chairman Clayton Highlights New Members of Executive Staff
Washington D.C., June 26, 2019 — The Securities and Exchange Commission today released a full roster of the executive staff of Chairman Jay Clayton, including several individuals who have recently joined the office. Chairman Clayton's…
CFPB To Hold First Symposium On June 25
WASHINGTON, D.C. – The Consumer Financial Protection Bureau announced today that its first symposium will be held on June 25 at 9 a.m. The symposium, part of a series announced earlier this year, will focus on…
SEC Announces Enforcement and Investor Education Initiatives to…
Washington D.C., June 3, 2019 — The Securities and Exchange Commission today announced two new education initiatives that will build on its ongoing efforts to protect retail investors. The Teachers’ Initiative and the Military Service…
Wesley R. Bricker, Chief Accountant, to Leave SEC
Washington D.C., May 30, 2019 — The Securities and Exchange Commission today announced that Wesley R. Bricker, Chief Accountant, plans to leave the agency after more than six years of distinguished service. Mr. Bricker was…
CFTC and SEC Participate in the Signing Ceremony…
Washington, DC — At the 44th Annual International Organization of Securities Commissions (IOSCO) Conference in Sydney, Australia, the Chairmen of the U.S. Commodity Futures Trading Commission (CFTC) and the U.S. Securities and Exchange Commission (SEC) participated…
Morgan DeVere has been Convicted for Abuse of…
Morgan DeVere Corporate Finance Limited ( Morgan DeVere ) has been convicted at the Wellington District Court on two counts of breaching the Financial Services Providers Act 2008 (FSP Act) for falsely claiming it was…