Texas State Securities Board

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

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…

US Securities and Exchange Commission - VALIC

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…

Texas State Securities Board

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…

British Columbia Securities Commission

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 Featured

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…