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…
SEC: Adam S. Aderton Named Co-Chief of the…
Washington D.C., May 2, 2019 — The Securities and Exchange Commission today announced that Adam S. Aderton has been named Co-Chief of the Division of Enforcement's Asset Management Unit, a national specialized unit that focuses…
Choosing a Financial Professional
At some point you may turn to a financial professional for help, particularly if you’re trying to achieve different goals – such as planning for retirement, financing children’s education, and buying a home. Before you…
SEC Share Class Initiative Returning More Than $125…
Reflecting SEC’s Commitment to Retail Investors, 79 Investment Advisers Who Self-Reported Advisers Act Violations Agree to Compensate Investors Promptly, Ensure Adequate Fee Disclosures The Securities and Exchange Commission today announced settled charges against 79 investment…
Investor Testing of the Proposed Relationship Summary for…
Washington D.C., Nov. 7, 2018 — In connection with our ongoing efforts to help address investor confusion about the nature of their relationships with investment advisers and broker-dealers, the SEC’s Office of the Investor Advocate…
Anthony S. Kelly, Co-Chief of Asset Management Unit,…
The Securities and Exchange Commission today announced that Anthony S. Kelly, Co-Chief of the Enforcement Division’s Asset Management Unit, will be leaving the agency this month after more than 18 years of service. The Asset…
SEC Proposes Fiduciary Rule Alternative
The Securities and Exchange Commission(SEC) proposed an alternative to the so-called Fiduciary rule. In a press release, the SEC announced it was proposing a new “best interest” standard for all broker/dealers in their trading and…