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Retail Securities

Changing language means that the word "dope" when referring to drugs has moved on from marijuana, usually to heroin where it has effectively reversed into that use from the term "doped up," meaning in a highly drugged state. But it's also mutated from the equivalent of "it's the dope" meaning "it's the best" to "it's dope" meaning, approximately, very good. But all of these uses are relatively new: originally "a dope" was a stupid person. So, now you understand the headline, read the article which refers to a disturbing form of spam.

BIScom Subsection: 

ASIC says that fixed coupon structured products are "complex, capital-at-risk products tied to the performance of reference shares," a definition that proves its point. Citigroup's advisers gave general advice, the company said. ASIC said retail customers "may have [been] led .. to believe that Citigroup was providing personal advice."

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The Commercial Affairs Department (CAD) of the Singapore Police Force and Monetary Authority of Singapore (MAS) advise the public to exercise extreme caution when dealing with unregulated online trading platforms. Has World Investors Stock Exchange (WISE) rebooted?

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Brenton John Poynter of Baulkham Hills, NSW has been banned from providing financial services by Australian regulatorm, the Australian Securities and Investments Commission (ASIC). His offence is startling.

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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?

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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.

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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?

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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.

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.

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