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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 Improve the Retail Investor Experience…
Washington D.C., Aug. 5, 2020 — The Securities and Exchange Commission - SEC today proposed comprehensive modifications to the mutual fund and exchange-traded fund disclosure framework to better serve the needs of retail investors. The…
SEC Charges Affiliated Advisers for Misrepresentations About Payment…
Washington D.C., Aug. 5, 2020 — The Securities and Exchange Commission - SECtoday filed settled charges against affiliated registered investment advisers WBI Investments Inc. and Millington Securities Inc. for making material misrepresentations to clients about…
SEC Provides Transparency to the Process of Nominating…
Washington D.C., Aug. 5, 2020 — The Securities and Exchange Commission - SEC today published procedures setting forth a staff-led process to nominate candidates for appointment to the Investor Advisory Committee. Candidates for vacancies on…
SEC Announces New Small Business Capital Formation Advisory…
Washington D.C., Aug. 4, 2020 — At today’s meeting of the Small Business Capital Formation Advisory Committee, the Securities and Exchange Commission - SEC announced the appointment of two new members to the Committee: Kesha…
Pharmaceutical Company and Former Executives Charged With Misleading…
The Securities and Exchange Commission today announced that Bausch Health, formerly Quebec, Canada-based Valeant Pharmaceuticals, agreed to pay a $45 million penalty to settle charges of improper revenue recognition and misleading disclosures in SEC filings…
SEC Charges CEO and Company With Defrauding First…
Washington D.C., July 30, 2020 — The Securities and Exchange Commission - SEC today announced charges against a San Antonio-area businessman and his company for running a multimillion-dollar fraudulent scheme that victimized scores of investors,…
SEC Charges VALIC Financial Advisors with Failing to…
Washington D.C., July 28, 2020 — The Securities and Exchange Commission - SEC today charged Houston-based VALIC Financial Advisors Inc. (VFA) in a pair of actions for failing to disclose to teachers and other investors…
SEC Announces Creation of the Event and Emerging…
Washington D.C., July 28, 2020 — The Securities and Exchange Commission today announced the creation of the Event and Emerging Risks Examination Team (EERT) in the Office of Compliance Inspections and Examinations (OCIE). The EERT…