The Commission’s focus on retail investors has translated into brining increasing numbers of actions against investment advisers. A number of those actions center on fraudulent schemes which were little more than simple theft. Those, and other similar actions typically result …
Month: September 2019
SEC. CFTC Settle With OCC, Imposing $20 Million in Penalties
The SEC and the CFTC resolved enforcement actions against the Options Clearly Corporation, imposing $20 million in penalties for regulatory failures. This is the first such actions. It serves to highlight the key financial position of the OCC in the …
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