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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…
SEC Proposes to Update Accredited Investor Definition to…
Washington D.C., Dec. 18, 2019 — The Securities and Exchange Commission voted to propose amendments to the definition of accredited investor, one of the principal tests for who is eligible to participate in our private…
One Dallas Investment Adviser Suspended, A Second Ordered…
Texas Securities Commissioner Travis J. Iles on June 6 sanctioned two Dallas investment adviser representatives for selling unsuitable investments to clients. The Commissioner suspended investment adviser representative Mark A. Trewitt for 90 days for selling unsuitable investments to clients,…
FCA Confirms New Rules for P2P Platforms
Following consultation, the Financial Conduct Authority (FCA) is introducing rules designed to prevent harm to investors, without stifling innovation in the (peer-to-peer) P2P Platforms. When the FCA set its first rules for P2P, it committed…
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…
In A Self-Directed IRA, Make Sure You’re Not…
Investing for retirement usually means buying stocks, bonds, and mutual funds through a workplace retirement plan like a 401(k) or in your own IRA (Individual Retirement Account). If you want to buy riskier assets for your retirement…
BCSC Panel Finds that Three B.C. Men and…
Vancouver – A British Columbia Securities Commission (BCSC) panel has found that three B.C. men and two mortgage investment companies committed fraud against investors by dishonestly spending their investment funds. Donald Bruce Edward Wilson, David Scott…
FMA Publishes Guide To Investors Shares
The FMA has published a guide for investors shares on the nuts and bolts of choosing, buying, owning and selling. The guide, Share this! deals with the steps involved in investing in shares as well as…
Commissioner Fines Crypto-Investing Firms, Obtains Repayment for Investors
Utah-based firms that illegally sold unregistered cryptocurrency-mining investments paid a $25,000 fine to the State of Texas and will offer Texas residents full repayment of any money they invested. Under the terms of a Feb.…