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SEC

Securities Exchange Commission

SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans

29/06/2016(0)
The Securities and Exchange Commission today proposed a new rule that would require registered investment advisers to adopt and implement written business continuity and transition plans.  The proposed rule ... Read More
Securities Exchange Commission

Four companies and eight individuals charged for a $80 million Oil and Gas fraud

27/06/2016(0)
The Securities and Exchange Commission today charged four companies and eight individuals in an $80 million oil and gas fraud orchestrated by a Dallas man who calls himself the ... Read More
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UK-Based Trader charged for hacked into the online brokerage accounts of numerous investors

23/06/2016(0)
The Securities and Exchange Commission today announced it has obtained an emergency court order to freeze the assets of a United Kingdom resident charged with intruding into the online ... Read More
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Hedge Fund Managers and Former Government Official Charged in $32 Million Insider Trading Scheme

16/06/2016(0)
The Securities and Exchange Commission today announced insider trading charges against two hedge fund managers and their source, a former government official accused of deceptively obtaining confidential information from ... Read More
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FINRA Announces CEO Transition

14/06/2016(0)
The Financial Industry Regulatory Authority (FINRA) today announced that its Board of Governors has concluded the CEO search, and appointed Robert W. Cook as President and Chief Executive Officer, ... Read More
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SEC bars electronic company’s corporate officials for accounting fraud

10/06/2016(0)
The Securities and Exchange Commission today announced that it has barred a former corporate vice president and suspended a former controller behind false accounting at a New York-based electronics ... Read More
Oracle

Oracle whistleblower suit raises questions over cloud accounting

10/06/2016(0)
The Oracle logo is seen on its campus in Redwood City, California June 15, 2015.REUTERS/ROBERT GALBRAITH A whistleblower lawsuit filed against Oracle Corp (ORCL.N) over its accounting practices underscores ... Read More
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SEC issues the second-largest Whistleblower Award of $17 Million

10/06/2016(0)
The Securities and Exchange Commission announced a whistleblower award of more than $17 million to a former company employee whose detailed tip substantially advanced the agency’s investigation and ultimate enforcement ... Read More
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SEC: Morgan Stanley to pay a $1 million penalty for failures to Safeguard Customer Data

09/06/2016(0)
The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney LLC has agreed to pay a $1 million penalty to settle charges related to its failures to ... Read More
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SEC: Forex Trader Misrepresented Track Record and Hid Massive Losses

03/06/2016(0)
The Securities and Exchange Commission charged a New York City-based Forex trader with defrauding investors out of millions of dollars by misrepresenting her investment track record, the profitability of her ... Read More
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