Industry

Transitioning best practices (Part 2)

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By Cindy Jenner Cowan |August 7, 2013

4 min read

SEC charges two with insider trading

The Securities and Exchange Commission has announced insider trading charges against a former systems administrator at Vermont-based Green Mountain Coffee Roasters who repeatedly obtained quarterly earnings data and traded in advance of its public release. The SEC also charged his friend who illegally traded along with him.

By Staff |August 7, 2013

2 min read

Rough ride in first half of 2013 for mining & metals firms

Headwinds felt by Canadian mining and metals companies in the first quarter of the year continued in Q2 with the TSX and TSXV closing with a 34% decline — a drop exacerbated by ongoing uncertainty around the price of gold, according to EY’s Canadian Mining Eye: Q2 2013.

By Staff |August 7, 2013

1 min read

FINRA fines Oppenheimer & Co. $1.4M

The Financial Industry Regulatory Authority (FINRA) has announced it has fined Oppenheimer and Co., Inc. $1,425,000 for the sale of unregistered penny stock shares and for failing to have an adequate anti-money laundering (AML) compliance program to detect and report suspicious penny stock transactions.

By Staff |August 7, 2013

2 min read