2 - 2016 - Planet Compliance

SEC publishes Investor Bulletin on Crowdfunding for Investors

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The SEC’s Office of Investor Education and Advocacy has issued an Investor Bulletin to educate investors about a new investing opportunity in the form of securities-based crowdfunding. Crowdfunding generally refers to a financing method in which money is raised through soliciting relatively small individual investments or contributions from a large number of people. Over the …

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ESMA issues follow-up review on money market fund guidelines

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The European Securities and Markets Authority (ESMA) has issued today a follow-up peer review into the compliance of national competent authorities (NCAs) with guidelines regarding money market funds. This report follows up an earlier peer review already published in April 2013, focusing on eight NCAs that were not compliant with the guidelines. The follow-up peer …

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FINRA bars investment firms VP and Broker Friend in Insider Trading Scheme

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The Financial Industry Regulatory Authority (FINRA) announced today that it has barred David Michael Gutman, a Vice President in the conflicts office of J.P. Morgan Securities, LLC, and Christopher John Tyndall, a former registered representative at Meyers Associates, L.P, from the securities industry for their roles in an insider trading scheme. Gutman and Tyndall were …

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16 February 2016

SEC publishes Investor Bulletin on Crowdfunding for Investors

ESMA issues follow-up review on money market fund guidelines

FINRA bars investment firms VP and Broker Friend in Insider Trading Scheme

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