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  • Ontario Securities Commission Announces Activities For World Investor Week And Investor Education Month

    Date 30/09/2020

    The Ontario Securities Commission (OSC) today announced several investor education and outreach activities during World Investor Week and Investor Education Month in October. Ontarians are encouraged to participate virtually and learn about improving their finances and making informed investing decisions.

  • Federal Reserve Board Announces Approval Of Notice By Morgan Stanley

    Date 30/09/2020

    The Federal Reserve Board on Wednesday announced its approval of the notice under section 4 of the Bank Holding Company Act of 1956 and under section 163(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act by Morgan Stanley, New York, New York, to acquire E*TRADE Financial Corporation ("E*TRADE") and thereby indirectly acquire E*TRADE's subsidiary federal savings associations, E*TRADE Bank and E*TRADE Savings Bank, all of Arlington, Virginia.

  • CFTC Orders Texas Man To Pay Over $1 Million For Misappropriating Confidential Information, Fictitious Trading, And False Statements

    Date 30/09/2020

    The Commodity Futures Trading Commission today issued an order filing and settling charges against Marcus Schultz of Houston, Texas, for engaging in a fraudulent scheme to misappropriate his employer’s confidential information and enter into fictitious trades. Schultz is also charged with making false statements to the CFTC and ICE Futures US. 

  • SEC Charges Hospitality Company For Failing To Disclose Executive Perks

    Date 30/09/2020

    The Securities and Exchange Commission today announced settled charges against Virginia-based hospitality company Hilton Worldwide Holdings Inc. for failing to fully disclose perquisites and personal benefits provided to executive officers. The action was generated by the Division of Enforcement’s use of risk-based data analytics to uncover potential violations related to corporate perquisites.

  • Federal Reserve Board Announces Approval Of Notice By The Toronto-Dominion Bank

    Date 30/09/2020

    The Federal Reserve Board on Wednesday announced its approval of the notice under section 4 of the Bank Holding Company Act of 1956 by The Toronto-Dominion Bank, Toronto, Canada, and its subsidiary, TD Group US Holdings LLC, Wilmington, Delaware, to acquire more than five percent of the voting shares of The Charles Schwab Corporation, San Francisco, California, a savings and loan holding company.