BCSC warning
December 06, 2017 BY Valentina Kirilova

Canadian regulator BCSC warns against Asia & Pacific Holdings Inc.

Canadian securities regulator the British Columbia Securities Commission (BCSC) has added to its Investment Caution List the company Asia & Pacific Holdings Inc. Asia & Pacific Holdings Inc. (the Company) claimed to be an investment firm with offices in Hong Kong, Japan and Vancouver, British Columbia (BC). Asia & Pacific Holdings Inc. Website: www.asiapacificholdingsinc.com Address:…

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Cboe ETF Marketplace Cboe Global Markets Inc. (Nasdaq: CBOE)
December 06, 2017 BY Valentina Kirilova

Cboe welcomes new ARK Fund to ETF Marketplace

Cboe Global Markets, Inc. (Nasdaq: CBOE) announced that it has welcomed a new ARK fund to the Cboe ETF Marketplace. The ARK Israel Innovative Technology ETF (Cboe: IZRL) seeks to provide investment results that closely correspond, before fees and expenses, to the performance of the ARK Israeli Innovation Index. The Index is designed to track…

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FXDD offices
December 06, 2017 BY LeapRate Staff

Exclusive: Nukkleus, FXDD and IronFX call off planned merger

LeapRate Exclusive... LeapRate has learned via regulatory filings that the long-planned merger of publicly traded Nukkleus Inc (OTCMKTS:NUKK) and related Retail FX broker FXDD with rival broker IronFX has been called off. The original deal, set in June of last year, called for a multi-stage and somewhat complicated set of transactions which would see IronFX as…

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sec whistleblower award
December 05, 2017 BY LeapRate Staff

SEC pays company insider $4 million for Whistleblower tip bringing total awards to $179 million

The U.S. Securities and Exchange Commission (SEC) has announced an award of more than $4.1 million to a former company insider who alerted the agency to a widespread, multi-year securities law violation and continued to provide important information and assistance throughout the SEC’s investigation. The whistleblower is the third awarded by the SEC in the past week.…

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Securities and Exchange Commission proposes Transaction Fee Pilot for NMS Stocks
December 05, 2017 BY Valentina Kirilova

SEC charges audit firm with fraud relating to auditing of penny stock companies

A California-based audit firm is being charged with conducting flawed audits and reviews of financial statements, which are critical sources of information for investors, SEC announced earlier today. The SEC’s Enforcement Division alleges that Anton & Chia LLP and its accountants ignored numerous indications of fraudulent financial reporting by three of the firm’s audit clients…

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Regulation
December 05, 2017 BY Valentina Kirilova

ASIC imposes additional license conditions on MyPlanner Australia

ASIC has negotiated the imposition of additional conditions on the Australian financial services (AFS) license of MyPlanner Australia Pty Ltd (MyPlanner) after they found MyPlanner was giving poor financial advice, and lacked adequate monitoring and supervision of its representatives. As a large number of representatives and staff recently moved to a second AFS licence, MyPlanner…

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