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SEC

PCAOB

PCAOB Annual Report on Inspections of Broker and Dealer Auditors Continues to Show High Levels of Independence Findings and Audit Deficiencies

19/08/2015(0)
The Public Company Accounting Oversight Board issued an annual report PDF on its interim inspection program for auditors of brokers and dealers registered with the Securities and Exchange Commission ... Read More
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SEC Charges BNY Mellon With Foreign Corrupt Practices Act Violations

19/08/2015(0)
The Securities and Exchange Commission announced that BNY Mellon has agreed to pay $14.8 million to settle charges that it violated the Foreign Corrupt Practices Act (FCPA) by providing ... Read More
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Citigroup Affiliates to Pay $180 Million to Settle Hedge Fund Fraud Charges

18/08/2015(0)
The Securities and Exchange Commission announced that two Citigroup affiliates have agreed to pay nearly $180 million to settle charges that they defrauded investors in two hedge funds by ... Read More
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Edward Jones to Pay $20 Million for Overcharging Retail Customers in Municipal Bond Underwritings

14/08/2015(0)
The Securities and Exchange Commission today announced that St. Louis-based brokerage firm Edward Jones and the former head of its municipal underwriting desk have agreed to settle charges that ... Read More
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SEC release no. 2015-163- Exante’s Official Response

13/08/2015(0)
EXANTE would like to address the above press release by the US Securities and Exchange Commission (SEC) and the sensational and inaccurate headlines that followed in the local media. ... Read More
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Malta-based hedge fund involved in $100 million fraud

13/08/2015(0)
US authorities file complaint against Exante Ltd, a Malta-based hedge fund, involved in international securities fraud scheme The US Securities and Exchange Commission (SEC) yesterday announced fraud charges against ... Read More
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SEC Charges ITG With Operating Secret Trading Desk and Misusing Dark Pool Subscriber Trading Information

13/08/2015(0)
The Securities and Exchange Commission today announced that ITG Inc. and its affiliate AlterNet Securities have agreed to pay $20.3 million to settle charges that they operated a secret ... Read More
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SEC Charges 32 Defendants in Scheme to Trade on Hacked News Releases

12/08/2015(0)
Hackers, Traders Allegedly Reaped More Than $100 Million of Illegal Profits The Securities and Exchange Commission today announced fraud charges against 32 defendants for taking part in a scheme ... Read More
BATS exchange

BATS Files Client Suspension Rule with SEC

31/07/2015(0)
BATS Global Markets (BATS)  filed with the Securities and Exchange Commission the BATS Client Suspension Rule, which would enable the company to take swifter action to prohibit manipulative behavior, ... Read More
First-Data

First Data Files Registration Statement for Proposed Initial Public Offering

22/07/2015(0)
First Data Corporation announced that it has filed a registration statement on Form S-1 with the U.S. Securities and Exchange Commission (SEC) relating to a proposed initial public offering of its common stock. The number ... Read More
Broker Cyprus TopFX