Litigation Release No. 24996 / December 23, 2020
Securities and Exchange Commission v. Global Investment Strategy UK Ltd. and John William Gunn, No. 1:20-cv-10838 (S.D.N.Y. filed December 22, 2020)
The Securities and Exchange Commission today charged Global Investment Strategy UK Ltd. (GIS), a London, UK-based financial services firm, for clearing and settling billions of dollars of U.S. securities transactions without registering as a broker-dealer in violation of the federal securities laws. The SEC also charged John William Gunn, its founder and principal, with aiding and abetting those violations.
According to the complaint, from at least 2015 through 2019, GIS-a financial firm located in the United Kingdom that has never been registered as a broker or dealer in the United States-provided clearance and settlement services to hundreds of U.S. customers for trades primarily between U.S. buyers and sellers and involving billions of dollars worth of securities. The complaint all
SEC Creates Security-Based Swaps Joint Venture
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The Securities and Exchange Commission today announced the creation of the Security-Based Swaps Joint Venture, a collaborative venture among several SEC divisions and offices that will be responsible for coordinating functions related to the regulation of security-based swaps (SBS) and oversight of certain entities that will be required to register with the SEC (SBS entities).
The co-leads of the SBS Joint Venture will be Vivi Mazarakis, an Acting Assistant Director in the Division of Examinations, and Carol McGee, who is the Assistant Director for the Office of Derivatives Policy in the Division of Trading and Markets. The joint venture will also include participation from staff across the agency, including from the Division of Enforcement, the Division of Economic Risk and Analysis, the Office of International Affairs and the Office of the Chief Data Officer. The SBS Joint Venture will be an important part of the agency
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Washington, D.C. (Newsfile Corp. - December 18, 2020) - The Securities and Exchange Commission today announced the creation of the Security-Based Swaps Joint Venture, a collaborative venture among several SEC divisions and offices that will be responsible for coordinating functions related to the regulation of security-based swaps (SBS) and oversight of certain entities that will be required to register with the SEC (SBS entities).
The co-leads of the SBS Joint Venture will be Vivi Mazarakis, an Acting Assistant Director in the Division of Examinations, and Carol McGee, who is the Assistant Director for the Office of Derivatives Policy in the Division of Trading and Markets. The joint venture will also include participation from staff across the agency, including from the Division of Enforcement, the Division of Economic Risk and Analysis, the Office of International Affairs and the Office of the Chief Data Officer. The SBS Joint Venture will be an important part of the agenc
JIBC Launches Cybercrime Analysis Certification
The Justice Institute of British Columbia (JIBC) has launched a new online Graduate Certificate in Cybercrime Analysis to help meet Canada s growing demand for professionals with cybersecurity skills.
This new post-graduate program has been established to furnish professionals with the advanced knowledge and applied analytical skills necessary to help prevent, detect, and respond to the constantly evolving landscape of cybercrime.
“Cybercrime is an ever-increasing threat that requires constant vigilance,” said Dr. Michel Tarko, JIBC president and CEO.
“We’re pleased to offer a new graduate-level certificate program specifically addressing cybersecurity and cybercrime that bridges the gap in available offerings across Canada.”
Our Education: Dremuk Foundation awards four scholarships to SIUE Undergraduate Students
The Telegraph
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From left, SIUE international students Fareedah Abisoye Balogun, Khuong Tang Hoan, Dat Nguyen and Aastha Satyal are the recipients of $2,500 scholarships from the Richard and Patricia Dremuk International Leader Scholarship Foundation.
EDWARDSVILLE Through a donation from the Richard and Patricia Dremuk International Leader Scholarship Foundation, the Southern Illinois University Edwardsville Office of International Affairs has awarded $2,500 scholarships to four undergraduate international students. The awards are competitive and based upon each student’s financial need and contribution to international education at SIUE.
Aastha Satyal, a senior from Nepal, is a business administration major. Junior Dat Nguyen, of Vietnam, is a computer science major. Sophomore Khuong Tang Hoan, of Vietnam, intends to major in computer science. Fareedah Abisoye Balogun