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…
Wedbush to Pay More Than $8.1 Million for…
Washington D.C., June 18, 2019 — The Securities and Exchange Commission today announced that Wedbush Securities Inc. will pay more than $8.1 million to settle charges for improper handling of "pre-released" American Depositary Receipts (ADRs).…
IIROC Proposes More Flexible, Proportionate Disciplinary Actions for…
National regulator’s proposed rules would include minor violation fines and early resolution offers April 25, 2019 (Toronto, ON) – The Investment Industry Regulatory Organization of Canada (IIROC) is publishing for comment a rule amendment proposing…
Deloitte Japan Charged With Violating Auditor Independence Rules
The Securities and Exchange Commission today announced that Deloitte Touche Tohmatsu LLC (Deloitte Japan) will pay $2 million to settle charges that it issued audit reports for an audit client at a time when dozens…
In CFTC Action, Court Orders Precious Metals Trader…
Washington, DC — The Commodity Futures Trading Commission (CFTC) announced today that Judge Vanessa Bryant of the U.S. District Court for the District of Connecticut issued a Final Judgment and Consent Order on February 5, 2019,…