SEC Announces Charges and Asset Freeze Against Hedge Fund Advisory Firm

The U.S. Securities and Exchange Commission has announced fraud charges and an asset freeze against a New York-based investment advisory firm and two executives for distributing falsified performance results ... Read More
SEC Probes Threat From Cyber

SEC Charges Toronto-Based Consultant and Four Others in Reverse Merger Schemes Involving China-Based Companies

The U.S. Securities and Exchange Commission (SEC), charged a Toronto-based consultant and four associates with conducting illegal reverse merger schemes to bring a pair of China-based companies into the ... Read More

Northern Trust Reports SEC Subpoena on Securities Lending

Northern Trust Corp. (NTRS), the third-biggest independent custody bank, said it received a subpoena from the U.S. Securities and Exchange Commission in April related to the company’s securities lending. ... Read More
GOLD bars

FCA Said to Observe Banks’ London Gold-Fixing Calls

Regulators are stepping up their scrutiny of how gold prices are set, with officials from Britain’s Financial Conduct Authority visiting Societe Generale SA (GLE) to observe the so-called London ... Read More

Sonray director jailed following $46 million collapse

The Australian Securities and Investments Commission (ASIC), has issued a press release informing the investors that former sole director of Sonray Capital Markets Pty Ltd (Sonray), Mr Russell Andrew ... Read More

ASIC obtains orders cancelling 15 million shares held in Northwest Resources Limited

Following an application by ASIC, the Federal Court of Australia has ordered the cancellation of 15 million shares in ASX-listed Northwest Resources Limited (Northwest) that were held in the ... Read More

‘Big six’ face competition inquiry

Regulators will investigate whether the “big six” UK energy suppliers are preventing effective competition in the UK energy market. The investigation will be by the Competition and Markets Authority ... Read More
Bank of England_regulator

Investigation for possible manipulation of the foreign market in UK

Bank of England, the UK’s central Bank has appointed a well experienced commercial lawyer to lead investigation focus on whether any Bank officials, was involved in attempted or actual manipulation ... Read More
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