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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…
Investment Funds Told to Correct Advertising and Disclosure
Today ASIC put responsible entities (REs) of all managed investment schemes (MISs) ‘on notice’ that they must ensure their investment fund advertising provides clear, balanced and accurate information. This follows ASIC’s risk based surveillance of advertising…
FCA Returns Funds to Land Banking Victims
The Financial Conduct Authority (FCA) has obtained High Court approval for a scheme to return £2.5 million to compensate banking victims of a series of unauthorised collective investment schemes. Between 2005 and 2010, approximately 800…
SEC Charges New Defendant in $43 Million Tribal…
Washington D.C., June 26, 2019 — The Securities and Exchange Commission today charged a Los Angeles man for his role in a fraudulent tribal bonds scheme to gain undisclosed control over two registered investment advisers…
Hedge Fund Manager to Pay $5 Million for…
Washington D.C., June 4, 2019 — The Securities and Exchange Commission today announced that a private fund manager in the mortgage-backed securities space has agreed to pay a $5 million penalty to settle charges stemming…
21 Charges Filed by FMA Act Against Man…
The Financial Markets Authority has charged a man with offences under the Crimes Act and the FMA Act at the Manukau District Court. He has been charged with: 16 charges of obtaining by deception under…
SEC Sues Alleged Perpetrator of Fraudulent Pyramid Scheme…
Washington D.C., May 23, 2019 — The Securities and Exchange Commission filed a civil injunctive action against Daniel Pacheco, a resident of San Clemente, California, and the alleged perpetrator of a multimillion-dollar pyramid scheme. The…
Broadridge to Launch Investor Voting App
The Investor Voting App, which builds on the firm's mobile voting feature launched in 2011, allows investors to vote directly and receive important regulatory and educational information relating to corporate direction. Broadridge Financial Solutions has…
New SEC Campaign Educates Investors on Where and…
Washington D.C., April 8, 2019 — The Securities and Exchange Commission today unveiled a public service campaign to empower Main Street investors to take control of their financial future. New SEC Campaign Educates Investors to…