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 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…
Two Advisory Firms, CEO Charged With Mutual Fund…
Washington D.C., Dec. 21, 2018 — The Securities and Exchange Commission today announced settled charges against two New York-based investment advisers and the CEO of one of the advisers who selected mutual fund share classes…
SEC Enforcement Division Issues Report on FY 2018…
Washington D.C., Nov. 2, 2018 — The Securities and Exchange Commission’s Enforcement Division today issued the annual report of its ongoing efforts to protect investors and market integrity. The report also highlights several significant actions and initiatives…
Canadian securities regulators align to publish harmonized response…
CSA publishes reforms to put clients' interests first and indicate policy decision on embedded commissions Toronto - The Canadian Securities Administrators (CSA) today published two notices concerning investor protection initiatives. The first requests public comment on detailed reforms…