The SEC released the agenda for the Nov. 4 meeting of the Fixed Income Market Structure Advisory Committee (FIMSAC). The meeting ...
CN Editor
November 04, 2019
SEC CHARGES MEYER GLOBAL MANAGEMENT AND ITS CEO WITH DEFRAUDING RETAIL INVESTORS IN PRIVATE FUNDS THAT HELD INTERESTS IN SPACEX AND OTHER PRE-IPO SECURITIES
SEC CHARGES TWO INDIVIDUALS WITH ORCHESTRATING FRAUD SCHEME THAT TARGETED VETERANS
SEC PROPOSES AMENDMENTS TO EXPAND RESPONSIBLE RETAILIZATION OF PRIVATE MARKETS
SEC CHARGES MULTIPLE ENTITIES IN FRAUD SCHEMES TOTALING AT LEAST $15 MILLION THAT USED WHATSAPP AND OTHER PLATFORMS TO LURE INVESTORS
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RCMP LAYS CHARGES IN ALLEGED $164M PONZI SCHEME
ADVISOR SANCTIONED FOR TAKING CLIENT INFO
CLIENT FOCUSED REFORMS (CFR) - TARGETED COMPLIANCE GUIDANCE: PRACTICAL STEPS TO HELP DEALER MEMBERS ("DEALERS") AND APPROVED PERSONS ("APS") MEET THEIR REGULATORY OBLIGATIONS AND PROTECT INVESTORS
CIRO ALLEGES HARBOURFRONT WEALTH MANAGEMENT REP FAILED TO USE DUE DILIGENCE TO ENSURE INVESTMENT RECOMMENDATIONS WERE SUITABLE FOR CLIENTS