The U.S. Securities and Exchange Commission has appointed a new head for its Office of Risk Assessment, and plans to beef up its efforts to identify vulnerabilities.The SEC announced that Jonathan Sokobin has been named Director of the agency’s Office of Risk Assessment, which is responsible for helping the SEC develop new ways to anticipate […]
U.S. regulator launches Financial Explorer
SEC, NASAA and FINRA aim to shield seniors from investment fraud
Ritchie Multi-Strategy Global Trading Ltd. and two executives were charged
New office will expedite the return of funds to injured investors
Li, Leung and Wong fined for insider trading related to $15 million in Dow Jones securities
Heads say first step is to create a framework for discussions
Auditor and senior associate netted unlawful trading profits
Securities regulators in the United States and India today announced terms for increased co-operation and collaboration.The U.S. Securities and Exchange Commission (SEC) and the Securities and Exchange Board of India (SEBI)announced a new dialogue between the two countries focusing on three main objectives: identifying and discussing regulatory issues of common concern; continuing and expanding the […]
Study explores industry, investor perspectives on customer relationships with financial service providers