Tag: retail investors

UN report says North Korea laundered $2 billion theft via Hong Kong firm
August 30, 2019 BY Valentina Kirilova

ANI Development LLC charged with defrauding approximately 50 retail investors

The Securities and Exchange Commission today announced that it has shut down $300 million fraud perpetrated by San Diego company ANI Development LLC and Its Principal, Gina Champion-Cain. According to the regulator, the company has defrauded approximately 50 retail investors. Back in 2012, ANI Development LLC fraudulently raised hundreds of millions of dollars from investors…

Read more
FCA
January 23, 2019 BY Valentina Kirilova

FCA helps firms understand whether their cryptoasset activities fall under regulation

UK financial regulator the Financial Conduct Authority (FCA) has announced that it is today consulting on guidance, which, once finalised, will set out the cryptoasset activities it regulates. With this move, the regulator aims to help firms understand whether their cryptoasset activities fall under FCA regulation. Christopher Woolard, executive director of Strategy and Competition at…

Read more
FCA allows retail investors greater access to long-term investment opportunities
December 12, 2018 BY Valentina Kirilova

FCA allows retail investors greater access to long-term investments

Right after publishing its Quarterly KPIs, the Financial Conduct Authority (FCA) has informed the public that it is going to allow retail investors greater access to long-term investment opportunities. Christopher Woolard, Executive Director of Strategy and Competition at the FCA, commented: We are proposing changes to allow retail investors greater access to long-term investment opportunities.…

Read more
April 19, 2018 BY LeapRate Staff

SEC introduces Regulation Best Interest to protect retail investors

The U.S. Securities and Exchange Commission (SEC) today voted to propose a package of rulemakings and interpretations designed to enhance the quality and transparency of investors’ relationships with investment advisers and broker-dealers while preserving access to a variety of types of advice relationships and investment products. Under proposed Regulation Best Interest, a broker-dealer would be…

Read more
March 30, 2015 BY Maria Nikolova

Monex Global Retail Investor Survey: 40% say BOJ QE measures unlikely

Monex Group, Inc. (TYO:8698), the Japan-based group of Forex brokers, this morning published its 16th Global Retail Investor Survey. The survey, conducted in late February and early March 2015, covered the opinions of retail investors in Japan, China (Hong Kong) and the United States on global Forex and stock markets for the following three months.…

Read more
October 07, 2014 BY Mike Fox

Monex Group's 14th quarterly "Monex Global Retail Survey" - retail investors bullish

In Monex Group's 14th quarterly "Monex Global Retail Survey" the survey shows that in all regions—Japan, the U.S., and China—retail investors expect that stock markets will be bullish (the number of investors that answered “World stock market prices will increase” exceeded that of investors that answered “World stock market will decrease”). We assume that investor…

Read more