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 Awards $3 Million to Joint Whistleblowers
Washington D.C., June 3, 2019 — The Securities and Exchange Commission today announced an award of $3 million to whistleblowers whose tip launched the SEC's investigation and subsequent successful enforcement action involving an alleged securities…
SEC Charges Investment Adviser With Fraud
Washington D.C., May 28, 2019 — The Securities and Exchange Commission today charged investment adviser Stephen Brandon Anderson with defrauding clients by overcharging advisory fees of at least $367,000. According to the SEC’s order, Anderson…
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…
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…
SEC Charges Four Public Companies With Longstanding ICFR…
The Securities and Exchange Commission today announced settled charges against four public companies for ICFR Failures for seven to 10 consecutive annual reporting periods. Two of the charged companies also failed to complete the required evaluation of…
SEC Charges Audit Firm and Suspends Accountants for…
Washington D.C., Dec. 21, 2018 — The Securities and Exchange Commission today filed settled charges against national audit firm Crowe LLP, two of its partners, and two partners of a now-defunct audit firm for their significant…
Federal Court Orders Forex Trading Firm and Its…
Washington, DC — The Commodity Futures Trading Commission (CFTC) announced today that on December 7, a federal court ordered New York firm Wright Time Capital Group LLC (d/b/a Global FX Club) (WTCG) to pay more than $1.48 million…
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…