While the shortcomings are not considered significant, the GAO says they still require attention
Consultant agrees to pay US$6 million in scheme involving China-based companies
Award represents 30% of total funds collected by SEC from a fraud scheme
U.S. regulator seeks comment on IAC’s proposal for funds to illustrate their “glide path”
New Brunswick and Quebec regulators had previously warned investors about WCM and WCM777
U.S. regulator alleges “scalping” scheme raised US$1.9 million
Firm admits to disclosure failings
Agencies would be subject to new requirements regarding their financial risk management, operations, governance, and disclosure
Court order shuts down website of alleged pyramid scheme
Swiss bank settles with SEC over serving U.S. clients without proper registration