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 Brings Charges in Edgar Hacking Case
The Securities and Exchange Commission today announced charges against nine defendants for participating in a previously disclosed scheme to hack into the SEC’s EDGAR system and extract nonpublic information to use for illegal trading. The…
SEC Charges ITG With Misleading Dark Pool Subscribers
Washington D.C., Nov. 7, 2018 — The Securities and Exchange Commission today announced that ITG Inc. and its affiliate AlterNet Securities Inc. have agreed to pay $12 million to settle charges arising from ITG’s misstatements…
SEC Charges Family Friend of Former Investment Banker…
Washington D.C., Nov. 2, 2018 — The Securities and Exchange Commission today charged an IT professional in Texas who allegedly participated in an insider trading scheme perpetrated by a former Wall Street investment banker. The…
Broker-Dealer to Pay $2.75 Million Penalty for Providing…
Washington D.C., Sept. 13, 2018 — The Securities and Exchange Commission today announced that Convergex Execution Solutions LLC, now known as Cowen Execution Services LLC, will pay $2.75 million to settle charges that the broker-dealer…
SEC Charges NFL Player and Former Investment Banker…
Washington D.C., Aug. 29, 2018 — The Securities and Exchange Commission today charged a professional football player and a former investment banker with insider trading in advance of corporate acquisitions facilitated through coded text messages and…
SEC Charges Credit Ratings Analyst and Two Friends…
Washington D.C., June 26, 2018 — The Securities and Exchange Commission today charged a credit ratings agency employee with tipping two friends about The Sherwin-Williams Co.’s confidential plans to acquire The Valspar Corp., which he learned…
b-next Unveils Blockchain-based Compliance Solutions
[caption id="attachment_307101" align="alignleft" width="205"] Wolfgang Fabisch, Chief Executive Officer at b-next[/caption] Capital markets compliance solutions provider b-next is presenting its most recent developments in blockchain surveillance, in collaboration with blockchain credit rating firm Whitestream. The blockchain…