SEC Announces Whistleblower Award of More Than $1.7 Million

The Securities and Exchange Commission today announced a whistleblower award of more than $1.7 million to a company insider who provided the agency with...

SEC Issues $20 Million Whistleblower Award

The Securities and Exchange Commission today announced an award of more than $20 million to a whistleblower who promptly came forward with valuable information...

FCA Fines Deutsche Bank £163 Million For Serious Anti-Money Laundering Controls Failings

The Financial Conduct Authority (FCA) has today fined Deutsche Bank AG (Deutsche Bank) £163,076,224 for failing to maintain an adequate anti-money laundering (AML) control...

SEC Charges Penny-Stock Operators in Push to Crack Down on Repeat Offenders

The Securities and Exchange Commission today charged two individuals with defrauding investors in penny stock companies that claimed to have valuable patents.  One of...

FCA issues list of unauthorised binary options providers

The Financial Conduct Authority (FCA) has today published a list of 94 firms without FCA authorisation that it understands to be offering binary options...

Call for candidates – AMF Creates Investment Products Advisory Committee

The Autorité des marchés financiers (the "AMF") is calling for candidates to serve on an advisory committee on investment products, primarily mutual funds, exchange-traded...

FMA Urges Investors to Know Scam Warning Signs

‘Bob’ from Christchurch lost $67,000 after being cold-called by scammers who persuaded him to ‘invest’ in a pharmaceutical firm. His case is being highlighted by...

FMA Files Crimes Act Charges Against Steven Robertson

The Financial Markets Authority (FMA) has filed criminal charges against Steven Robertson in the Auckland District Court under the Crimes Act 1961. Mr Robertson faces...

ASIC warns consumers about investment scams

During Consumer Fraud Week 2017, ASIC is reminding consumers to protect themselves against investment scams. ASIC Deputy Chairman Peter Kell said, 'The Targeting Scams report published...

FMA: Changes for Investment Companies Offering Shares to Protect Investors

Investors will benefit from greater protection due to a change in the way the Financial Markets Authority (FMA) will treat certain companies offering shares. Under...

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