Trader’s activity put Rochdale Securities out of business
Regulator alleges Scott London, as lead partner on several KPMG audits, was able to obtain material, nonpublic information
Financial firms required to detect red flags and prevent identity theft in client accounts
As a U.S. attorney, Mary Jo White specialized in prosecuting complex securities and financial institution frauds and international terrorism cases
SIFMA welcomes appointment of former prosecutor
Report concludes that companies can use social media to announce key information
Mary Schapiro to oversee consulting firm’s governance and markets practice
Chinese businessman and his wife to pay US$3 million
OSC to hear request for trading bans against New Futures Trading and Fernando Fagundes
Fund companies need not report all social media postings