Global Investment Strategy UK fails to escape SEC action
The Court has denied a motion by Global Investment Strategy UK to dismiss an action launched by the SEC.
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Category: Regulatory
FCA survey finds most young investors driven by competition, social media hype
FCA survey finds three quarters of younger high-risk investors say they feel competitive when investing in high-risk products.
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Credit Suisse hit with $475M US and UK fines for misleading investors in Mozambique affair
Credit Suisse and VTB Capital failed to disclose the true nature of Mozambique’s debt and the high risk of default.
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SEC has yet to complete service in Long Blockchain insider trading case
SEC has not yet effected service on Eric Watson, an undisclosed control person of Long Blockchain, involved in the insider trading scheme.
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CFTC, former Deutsche Bank trader fail to resolve spoofing case
Following good faith efforts to finalize a proposed Consent Order, the CFTC and James Vorley are at an impasse.
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