Home / FinReg (page 4)

FinReg

SEC Charges California-Based Fraudster With Selling “Insider Tips” on the Dark Web

DARK WEB insider tips

SEC charged James Roland Jones of Redondo Beach, California, with perpetrating a fraudulent scheme to sell what he called “insider tips” on the dark web.

Read More »

SEC Obtains Emergency Asset Freeze, Charges California Trader with Posting False Stock Tweets

ARCS Arcis Resources Corporation

According to the SEC's complaint, which was filed under seal in federal court in the Central District of California on March 2, 2021 and unsealed today, Andrew L. Fassari used the Twitter handle @OCMillionaire to tweet false statements about Arcis Resources Corporation (ARCS)

Read More »

FCA starts criminal proceedings against NatWest Plc

National Westminster Bank Natwest

FCA has today announced that it has commenced criminal proceedings against National Westminster Bank Plc (NatWest) in respect of offences under the Money Laundering Regulations 2007

Read More »

MAS Makes Senior Management Changes

Ms Ho Hern Shin

MAS announced four new senior management appointments as part of an ongoing process to renew MAS’ leadership bench. Ms Ho Hern Shin, currently Assistant Managing Director (Banking & Insurance), will be appointed Deputy Managing Director

Read More »

SEC Charges AT&T (T) and Three Executives with Selectively Providing Information to Wall Street Analysts

T AT&T

SEC charged AT&T, Inc. with repeatedly violating Regulation FD, and three of its Investor Relations executives with aiding and abetting AT&T's violations

Read More »

Managing the risks of remote working in financial institutions

ABS

MAS and The Association of Banks in Singapore (ABS) jointly issued today a paper on managing new risks that could emerge from extensive remote working arrangements adopted by financial institutions (FIs) amid the COVID-19 pandemic.

Read More »

Michelle W. Bowman: My Perspective on Bank Regulation and Supervision

Michelle W. Bowman

At the Conference for Community Bankers sponsored by the American Bankers Association. I want to thank the American Bankers Association for inviting me to speak to you today.

Read More »

SEC Suspends Trading in Inactive Issuer Touted SpectraScience on Social Media

SpectraScience Inc SCIE

The Securities and Exchange Commission today suspended trading in an inactive company amid questions surrounding online promotion of the company’s securities and recent trading activity.

Read More »

Canadians opening Do-It-Yourself (DIY) accounts in unprecedented numbers

Investment Industry Regulatory Organization of Canada IIROC

IIROC re-issues DIY Investor Bulletin to help retail investors protect themselves. With over two million Do-It-Yourself (DIY) accounts opened in Canada in 2020, and increased market volatility

Read More »

Canadian securities regulators warn public about Crypto trading scam using fake accreditation

CSA Canadian Securities Administrators

CSA is warning the public about a trading scam advertised under the name of Mercury Crypto Invest (Mercury). Mercury posted a series of online advertisements, primarily on Kijiji, offering an investment opportunity to people across Canada

Read More »