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SEC

jo-white

High-Speed Trading Rules Coming From SEC

06/06/2014(0)
U.S. Securities and Exchange Commission Chair Mary Jo White unveiled the regulator’s most sweeping plan yet for reining in high-frequency trading and monitoring dark pools and other secretive trading ... Read More
bitcoin-smile

Illegal Bitcoin IPO Actually Worked Out Pretty Well for Investors

04/06/2014(0)
Today the Securities and Exchange Commission shut down a bitcoin investing scam that, as bitcoin investing scams go, is disappointingly un-scammy. A very bitcoiny guy named Erik Voorhees1 started ... Read More
bonds - investing

SEC Charges Operator With Defrauding Bond Investors

03/06/2014(0)
The U.S. Securities and Exchange Commission (SEC) has charged a charter school operator in Chicago with defrauding investors in a $37.5 million bond offering for school construction by making ... Read More
deloitte china-accounting

Big Four’s China Accountancy Units Thrashing Out SEC Settlement in Auditing Dispute

03/06/2014(0)
The Chinese units at some of the world’s largest accounting firms – dubbed the Big Four – are looking to reach an out-of-court settlement with the US’ Securities and ... Read More
SEC Probes Threat From Cyber

SEC Charges Chicago-Based Investment Fund Manager With Stealing Investor Money and Conducting Ponzi Scheme

30/05/2014(0)
The U.S. Securities and Exchange Commission has announced fraud charges and an asset freeze against a Chicago-based investment fund manager accused of stealing money he raised from investors to ... Read More
Bank of Japan building

SEC Obtains Asset Freeze to Halt Fraud at Illinois-Based Transfer Agent

29/05/2014(0)
The Securities and Exchange Commission announced fraud charges and an emergency asset freeze against an Illinois-based transfer agent and its owner whose misappropriation scheme was exposed during an SEC ... Read More
SAC Prosecutor

SAC Prosecutor Tells SEC Cohen’s Case Should Be Delayed

29/05/2014(0)
An administrative proceeding filed against SAC Capital Advisors LP founder Steven A. Cohen by the Securities and Exchange Commission should be put on hold because prosecutions of his former ... Read More
regulatory_compliance

EU Market Rules, Logitech Probe, Finra Fines: Compliance

23/05/2014(0)
Europe’s capital markets are getting a new foundation. The 28-nation European Union’s top markets regulator yesterday made public more than 800 pages of proposed rules that cover everything from ... Read More
tokyo

SEC Charges Private Fund Manager

22/05/2014(0)
The Securities and Exchange Commission has charged a Sarasota, Fla.-based private fund manager with defrauding investors in a Ponzi scheme that ensued after he squandered their money on bad ... Read More
Logitech_logo

Logitech says audit committee investigating accounting matters

22/05/2014(0)
Logitech International SA said its audit committee is conducting an investigation into some of its accounting matters related to its earlier-stated results and the company may revise its fiscal ... Read More
Broker Cyprus TopFX