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Retail Securities

When, in 2006, US "hedge funds" began to have trouble meeting their obligations, honest ones went out of business while others faked accounts and ran Ponzi schemes and the US government largely ignored the warnings that such collapses give.

How should the world interpret the collapse of UK fund manager Strand Capital?

Editorial Staff
BIScom Subsection: 

The USA's Securities and Exchange Commission has unanimously voted to approve new rules to significantly curtail "pay to play" practices by investment advisers. Why not call it what it is - corruption?

Editorial Staff
BIScom Subsection: 

When Malaysia's Securities Commission imposed conditions on the activities of SJ Asset Management, an unrelated company, SJ Securities began to get calls from worried clients.

Editorial Staff
BIScom Subsection: 

New Zealand's Securities Commission is to issue civil proceedings against Nuplex Industries Limited and several present and former directors in the SC's first "continuous disclosure" case and papers are being filed at The High Court in Wellington this morning. The company is dual-listed in NZ and Australia.

Editorial Staff
BIScom Subsection: 

David B. Stocker, a lawyer in Phoenix, Arizona, pleaded guilty on11 March 11, 2009, in U.S. District Court in Alexandria, Virginia., for his participation in a stock manipulation conspiracy known as a "pump-and-dump" scheme. On 12 March 2010 (yes, a year later) Stocker has been sentenced.

Editorial Staff
BIScom Subsection: 

 


 

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