The Securities and Exchange Commission today announced that chief compliance officers (CCOs) for mutual fund and investment advisers can begin registering for the agency’s annual National Seminar to help them further enhance their compliance programs for the protection of investors.
As part of the Securities and Exchange Commission’s third annual Seniors Summit held in Washington today, the staff of the SEC along with the Financial Industry Regulatory Authority (FINRA) and the North American Securities Administrators Association (NASAA) released a joint report outlining practices that financial services firms can use to strengthen their policies and procedures for serving older investors as they approach and enter retirement.
The Securities and Exchange Commission today charged a former broker in South Florida who allegedly defrauded senior citizens and other customers through a variety of abusive sales practices, garnering him more than $700,000 in commissions and fees while causing more than $2.7 million in investor losses.
A list of key dates for tax agents for the period October - December 2008.
Statistics on processing of activity statements for the current financial year.
Japanese bank Nomura buys some of Lehman Brothers’ European assets for an undisclosed sum, saving thousands of jobs.
Iraq agrees to set up a joint venture with Royal Dutch Shell to invest in the country’s natural gas reserves.
A challenge against employers’ rights to make people retire at 65 has been rejected by the adviser to the European courts.
Tate & Lyle loses a court case to defend its Splenda artificial sweetener from Chinese manufacturers producing generic competitors.
Advertisements to buy ailing Italian airline appear in four newspapers in a bid to lure buyers for the firm.