Latest Banking/Financial Services News

Washington, D.C.--(Newsfile Corp. - September 23, 2019) - The Securities and Exchange Commission today charged accounting firm PricewaterhouseCoopers LLP with improper professional conduct in connection with 19 engagements on behalf of 15 SEC-registered issuers and violating auditor independence rules in connection with engagements for one issuer where the firm performed ...
Banking/Financial Services
2019-09-23 1:01 PM ET | Newsfile SEC Press Digest

Toronto, Ontario--(Newsfile Corp. - September 23, 2019) - Nurcapital Corporation Ltd. (TSXV: NCL.H) (the "Company"), a capital pool company, is pleased to announce that, effective immediately, Salim Ansari has resigned as Chief Financial Officer of the Company and he has been replaced by Kyle Appleby, subject to receipt of all ...
Banking/Financial Services
2019-09-23 10:47 AM ET | Nurcapital Corporation Ltd.

Washington, D.C.--(Newsfile Corp. - September 23, 2019) - The Securities and Exchange Commission today filed settled fraud charges against Nissan, its former CEO Carlos Ghosn, and its former director Greg Kelly related to false financial disclosures that omitted more than $140 million to be paid to Ghosn in retirement.According to the SEC's ...
Banking/Financial Services
2019-09-23 10:35 AM ET | Newsfile SEC Press Digest

Calgary, Alberta--(Newsfile Corp. - September 20, 2019) - Builders Capital Mortgage Corp. (TSXV: BCF) (the "Company") announced today that its board of directors has declared a distribution of $0.2016 per Class A Non-Voting share of the Company. The distribution will be paid on October 31, 2019 to holders of ...
Banking/Financial Services
2019-09-20 2:02 PM ET | Builders Capital Mortgage Corp.

Washington, D.C.--(Newsfile Corp. - September 19, 2019) - The Securities and Exchange Commission today announced that it took a significant step toward establishing the regulatory regime for security-based swap dealers by adopting a package of rules and rule amendments under Title VII of the Dodd-Frank Wall Street Reform and Consumer ...
Banking/Financial Services
2019-09-19 12:25 PM ET | Newsfile SEC Press Digest

Toronto, Ontario--(Newsfile Corp. - September 19, 2019) - Eric Sprott announces that, on September 18, 2019, 2176423 Ontario Ltd., a corporation which is beneficially owned by him, acquired ownership of 10,000,000 units ("Units") of Unigold Inc., on a private placement basis, at a price of $0.10 per Unit for total ...
Banking/Financial Services
2019-09-19 11:06 AM ET | Eric Sprott

Washington, D.C.--(Newsfile Corp. - September 18, 2019) - The Securities and Exchange Commission today sued ICOBox and its founder Nikolay Evdokimov for conducting an illegal $14 million securities offering of ICOBox’s digital tokens and for acting as unregistered brokers for other digital asset offerings. According to the SEC’s complaint, ICOBox raised ...
Banking/Financial Services
2019-09-18 4:59 PM ET | Newsfile SEC Press Digest

Washington, D.C.--(Newsfile Corp. - September 18, 2019) - The Securities and Exchange Commission today announced that it has filed an emergency action and obtained a temporary restraining order and asset freeze against three individuals and three entities in connection with an alleged fraudulent, ongoing international trading program that has placed at risk ...
Banking/Financial Services
2019-09-18 3:40 PM ET | Newsfile SEC Press Digest

Vancouver, British Columbia--(Newsfile Corp. - September 18, 2019) - NetCents Technology Inc. (CSE: NC) (FSE: 26N) (OTCQB: NTTCF) ("NetCents" oder das "Unternehmen"). NetCents treibt seine Markteinführung und Integration immer schneller voran. Soeben hat das Unternehmen seine 40. Partnerschaftsvereinbarung unterzeichnet.Erst im Februar gab NetCents seinen 20. Partner bekannt. Nun freut ...
Technology, Banking/Financial Services
2019-09-18 11:11 AM ET | NetCents Technology Inc.

Vancouver, British Columbia--(Newsfile Corp. - September 18, 2019) - NetCents Technology Inc. (CSE: NC) (FSE: 26N) (OTCQB: NTTCF) ("NetCents" or the "Company"). Accelerating its pace for market adoption and integration, NetCents has signed its 40th partnership agreement. Following on the heels of NetCents' 20th partner announcement in February, NetCents ...
Technology, Banking/Financial Services
2019-09-18 9:00 AM ET | NetCents Technology Inc.

Washington, D.C.--(Newsfile Corp. - September 17, 2019) - The Securities and Exchange Commission today announced that it has proposed rules to update the statistical disclosures that bank and savings and loan registrants provide to investors, and eliminate disclosures that overlap with Commission rules, U.S. GAAP or IFRS.  The proposed rules ...
Banking/Financial Services
2019-09-17 4:20 PM ET | Newsfile SEC Press Digest

Vancouver, British Columbia--(Newsfile Corp. - September 17, 2019) - Daura Capital Corp. (TSXV: DUR.P) (the "Company"), a capital pool company, is pleased to announce that it successfully completed its initial public offering (the "IPO") of 2,000,000 common shares of the Company at a price of $0.10 per share for gross ...
Banking/Financial Services
2019-09-17 4:12 PM ET | Daura Capital Corp.

Washington, D.C.--(Newsfile Corp. - September 17, 2019) - The Securities and Exchange Commission today instituted a settled order against three Raymond James entities for improperly charging advisory fees on inactive retail client accounts and charging excess commissions for brokerage customer investments in certain unit investment trusts (UITs).The SEC order finds ...
Banking/Financial Services
2019-09-17 1:29 PM ET | Newsfile SEC Press Digest

Washington, D.C.--(Newsfile Corp. - September 16, 2019) - The Securities and Exchange Commission today announced that Stifel, Nicolaus & Co., Inc. has agreed to pay $2.7 million and BMO Capital Markets Corp. has agreed to pay $1.95 million to settle charges for providing incomplete and inaccurate securities trading information to the ...
Banking/Financial Services
2019-09-16 6:09 PM ET | Newsfile SEC Press Digest

Calgary, Alberta--(Newsfile Corp. - September 16, 2019) - High Mountain Capital Corporation (TSXV: BUZD.P) (the "Corporation") is pleased to announce that it has completed its Qualifying Transaction (as such term is defined by the TSX Venture Exchange (the "TSXV")) with Facedrive Inc. ("Facedrive") pursuant to which the Corporation and Facedrive ...
Banking/Financial Services
2019-09-16 6:06 PM ET | High Mountain Capital Corporation

Washington, D.C.--(Newsfile Corp. - September 16, 2019) - The Securities and Exchange Commission today charged two subsidiaries of Prudential Financial Inc. with failing to disclose conflicts of interest and making misleading disclosures to the boards for 94 funds they advised.According to the SEC's order, Prudential subsidiaries AST Investment Services Inc. ...
Banking/Financial Services
2019-09-16 4:44 PM ET | Newsfile SEC Press Digest

Washington, D.C.--(Newsfile Corp. - September 16, 2019) - The Securities and Exchange Commission today announced that Marvell Technology Group, Ltd. will pay $5.5 million to settle charges that it misled investors when it engaged in an undisclosed revenue management scheme in order to meet publicly-issued revenue guidance. According to the ...
Banking/Financial Services
2019-09-16 4:42 PM ET | Newsfile SEC Press Digest

Calgary, Alberta--(Newsfile Corp. - September 16, 2019) - CanaGlobe Compliance Solutions Inc. ("CanaGlobe") is pleased to announce its updated Incident Reporting System, providing public and private companies and non-profit organizations with a cost-efficient, secure, and anonymous system which allows employees, contractors, vendors, and others to report issues directly to the ...
Banking/Financial Services
2019-09-16 9:00 AM ET | CanaGlobe Compliance Solutions

Toronto, Ontario--(Newsfile Corp. - September 13, 2019) - Gunpowder Capital Corp., (CSE: GPC), (CSE: GPC.PR.A), (OTCQB: GNPWF), (FSE: YS6N), (the "Corporation") announced today that McGovern Hurley LLP (the "Former Auditor") had resigned as auditors of the Corporation, effective September 13th, 2019. Accordingly, the Directors have appointed Davidson & Company LLP., ...
Banking/Financial Services, Investment Banking
2019-09-13 5:00 PM ET | Gunpowder Capital Corp.

Toronto, Ontario--(Newsfile Corp. - September 12, 2019) - Eric Sprott announces that, on September 12, 2019, 2176423 Ontario Ltd., a corporation which is beneficially owned by him, acquired ownership of 5,714,286 common shares of Dolly Varden Silver Corp., representing approximately 6.8% of the outstanding shares on a non-diluted basis at ...
Banking/Financial Services
2019-09-12 4:05 PM ET | Eric Sprott

Vancouver, British Columbia--(Newsfile Corp. - September 12, 2019) - NetCents Technology Inc. ("NetCents" oder das "Unternehmen") (CSE: NC) (FSE: 26N) (OTCQB: NTTCF). Das in Kanada ansässige Unternehmen NetCents ermöglicht Kryptowährungseignern in der ganzen Welt Freiheit im Zahlungsverkehr. Dank seines firmeneigenen Programms für Händlerportale liegt NetCents gerade im Rennen um die ...
Technology, Banking/Financial Services
2019-09-12 9:05 AM ET | NetCents Technology Inc.

Vancouver, British Columbia--(Newsfile Corp. - September 12, 2019) - NetCents Technology Inc. (CSE: NC) (FSE: 26N) (OTCQB: NTTCF) ("NetCents" or the "Company"). Canadian-based NetCents is unleashing payment freedom for cryptocurrency owners around the globe. Through its proprietary Merchant Gateway program, NetCents is winning the merchant share sign-up race and ...
Technology, Banking/Financial Services
2019-09-12 9:00 AM ET | NetCents Technology Inc.

Washington, D.C.--(Newsfile Corp. - September 11, 2019) - The Securities and Exchange Commission today announced that James M. Daly, Division of Corporation Finance Associate Director, will retire at the end of the month after more than 38 years of service at the SEC.As an Associate Director overseeing the division's disclosure ...
Banking/Financial Services
2019-09-11 4:21 PM ET | Newsfile SEC Press Digest

Toronto, Ontario--(Newsfile Corp. - September 10, 2019) - The Canadian Securities Exchange (CSE) today announced the official launch of the CSE Media Centre - a development that coincides with the CSE's 15-year anniversary as a recognized stock exchange.Located at the CSE's headquarters in Toronto on the top floor of First ...
Banking/Financial Services
2019-09-10 3:21 PM ET | Canadian Securities Exchange (CSE)

Vancouver, British Columbia--(Newsfile Corp. - September 10, 2019) - NetCents Technology Inc. (CSE: NC) (FSE: 26N) (OTCQB: NTTCF) ("NetCents" oder das "Unternehmen") freut sich, seinen Aktionären ein Schreiben seines CEOs Clayton Moore übermitteln zu dürfen.Sehr geehrte Aktionäre,seit wir an den Start gegangen sind, haben wir mutig einen Ansatz verfolgt, der Risiken ...
Technology, Banking/Financial Services
2019-09-10 12:40 PM ET | NetCents Technology Inc.