Advertise With Us
Sign up for our Newsletter
Join Our Directory
Open an Account

Securities and Exchange Commission

sec-logo

SEC Establishes Supervisory Cooperation Arrangement With Hong Kong SFC

20/01/2017(0)
The Securities and Exchange Commission today announced that it has established a comprehensive arrangement with the Hong Kong Securities and Futures Commission (SFC) as part of the SEC’s long-term ... Read More
citadel

Global market maker Citadel Securities to pay $22.6 million to settle charges

16/01/2017(0)
Citadel Securities Paying $22 Million for Misleading Clients About Pricing Trades The Securities and Exchange Commission today announced that Citadel Securities LLC has agreed to pay $22.6 million to ... Read More
sec-logo

Brokers used in-and-out trading strategy to defraud customers

10/01/2017(0)
The Securities and Exchange Commission today charged two New York-based brokers with fraudulently using an in-and-out trading strategy that was unsuitable for customers in order to generate hefty commissions ... Read More
binary

Israeli-based firm must pay more than $1.7 million for misleading investors into trading binary options

11/11/2016(0)
The Securities and Exchange Commission announced that an Israeli-based firm must pay more than $1.7 million for misleading investors into trading binary options over the internet, and the agency warned ... Read More
sec-logo

SecondMarket, Inc. and Bitcoin Investment Trust (BIT) Settle Charges

12/07/2016(0)
SecondMarket, Inc. and Bitcoin Investment Trust (BIT) Settle Charges Relating to Unlawful Redemptions of BIT Shares during a Continuous Distribution The Securities and Exchange Commission announced that SecondMarket, Inc., a New York ... Read More
SEC_logo

Traders in China and Hong Kong Paying $920,000 to Settle Insider Trading Case

29/12/2015(0)
The Securities and Exchange Commission today announced that two traders in China and Hong Kong have agreed to pay more than $920,000 to settle an insider trading case against ... Read More
Morgan Stanley is pictured on a building in San Diego

Morgan Stanley Settles Charges in “Parking” Scheme

23/12/2015(0)
The Securities and Exchange Commission today announced that Morgan Stanley Investment Management has agreed to pay $8.8 million to settle charges that one of its portfolio managers unlawfully conducted ... Read More
Royal bank of Scodland

Former R.B.S. Bond Trader Pleads Guilty to Securities Fraud

22/12/2015(0)
A former top trader at the Royal Bank of Scotland pleaded guilty in federal court in Connecticut on Monday to one count of conspiracy to commit securities fraud as ... Read More
SEC- Headquarters

SEC: Blackstone to Pay Nearly $39 Million Settlement

08/10/2015(0)
Blackstone Charged With Disclosure Failures Private Equity Advisers to Pay Nearly $39 Million Settlement The Securities and Exchange Commission announced that three private equity fund advisers within The Blackstone ... Read More
SEC_logo

SEC Charges Two Grant Thornton Firms With Violating Auditor Independence Rules

02/10/2015(0)
The Securities and Exchange Commission today charged Grant Thornton India LLP and Australia-based Grant Thornton Audit Pty Limited with auditor independence violations that occurred when two Grant Thornton Mauritius ... Read More
Broker Cyprus TopFX