Judgment orders Macdonald to pay disgorgement of US$810,000.
Four charged in insider probe
Scheme raised in US$34 million from investors in U.S., Canada
The U.S. Securities and Exchange Commission proposed several rules Wednesday that will ramp up the disclosure obligations on both resource companies and firms that use minerals from troubled countries.The SEC voted unanimously to propose measures to require new disclosure by reporting issuers concerning “conflict minerals” that originate in the Democratic Republic of the Congo or […]
Georgiou ordered to pay US$56 million in restitution
The U.S. Securities and Exchange Commission is proposing new rules to expand oversight of investment advisors that run private funds, such as hedge funds.
SEC obtains permanent injunctions against Sorenson and Brost
Ban reduces the risk that trades will be executed at irrational prices
New rule requires brokers and dealers to have risk controls in place before providing their customers with access to the market
Berkshire Resources offered fraudulent ‘units of participation’