The Securities and Exchange Commission today charged a former Rockland County, New York-based investment adviser and his daughter with conducting a multi-million dollar Ponzi scheme that defrauded local community members as well as members of their fam...
The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for the Compliance Outreach Program for Municipal Advisors.  Th...
[unable to retrieve full-text content] The Financial Conduct Authority has directed London Capital & Finance plc (LCF) to withdraw all of its existing marketing materials in relation to LCF’s Fixed Rate ISA or Bond.
The Securities and Exchange Commission today announced that Jeffrey Minton, Office of the Chief Accountant (OCA)'s Chief Counsel, will be retiring from the agency next month after more than 20 years of service at the SEC, with over half of that time sp...
Almost all firms and individuals carrying out financial services activities in the UK have to be authorised or registered by us. This firm is not authorised or registered by us but has been targeting people in the UK, claiming to be an authorised firm....
Two former executives behind an allegedly fraudulent initial coin offering (ICO) that was stopped by the Securities and Exchange Commission earlier this year have been ordered in federal court to pay nearly $2.7 million and prohibited from serving as o...
The Securities and Exchange Commission today announced that three Houston-area developers have agreed to settle charges that they misused investor funds raised from 90 Chinese investors under the EB-5 Immigrant Investor Program on unrelated projects. ...
After failing to reach a verdict in a trial at Southwark Crown Court brought by the Financial Conduct Authority (FCA), the jury was discharged. The FCA has confirmed to the court that it will be seeking a re-trial of Fabiana Abdel-Malek and Walid ...
We expect that, by now, firms have considered the issues that we have previously highlighted. We have updated our webpage on preparing your firm for Brexit to follow up on some key areas: contract continuity – we remind firms which do business in...
These proposals follow the 2018 Budget when the Chancellor announced a package of measures designed to increase investment in patient capital, a term for a broad range of alternative investment assets intended to deliver long-term returns; for example,...