FCA fines and restricts W H Ireland Limited for market abuse risks
February 25th, 2016
The Financial Conduct Authority (FCA) has fined W H Ireland Limited (WHI) £1.2million. The firm is also restricted for a period of 72 days from taking on new clients in its corporate broking division. The FCA found that between ...
Cookies penalty: AMAZON EUROPE CORE, GOOGLE LLC and GOOGLE IRELAND LIMITED fined multimillion euros
December 10th, 2020
The French data protection authority, Commission Nationale de l’Informatique et des Libertés (CNIL), has issued today two announcements to inform about the imposition of fines to AMAZON EUROPE CORE, GOOGLE LLC and GOOGLE IRELAND LIMITED for Cookies violations. AMAZON ...
Central Bank of Ireland imposes fine of €3,500,000 in respect of IT governance failures by Ulster Bank Ireland Limited
November 13th, 2014
The Central Bank of Ireland (the “Central Bank”) has fined Ulster Bank Ireland Limited (the “Firm”) €3,500,000 and reprimanded it in relation to IT and governance failings by the Firm that resulted in approximately 600,000 customers being deprived of ...
SFC warns on unlicensed entity Wells Fargo Global Investments (Hong Kong) Limited
September 10th, 2015
Regulatory Commission of Hong Kong, Securities and Futures Commission (SFC), has issued a warning to inform public for an unlicensed entity with the name Wells Fargo Global Investments (Hong Kong) Company Limited. The address of the above company and ...
Ireland’s financial services sector looks to AOMi for improved operations performance
March 26th, 2015
Leading banks and financial organisations are choosing international specialist’s method-driven approach and cloud-based software in support of improved productivity Active Operations Management International (AOMi) has announced major contract wins in Ireland, including a new deployment with Dublin-based Bank of ...
FD acquires ActivateClients Limited for software development and mobile technology capabilities
March 24th, 2015
First Derivatives (AIM:FDP.L, ESM:FDP.I), a leading provider of software and consulting services, announces it has acquired the entire issued share capital of ActivateClients Limited (“ActivateClients”). The earnings enhancing acquisition provides complementary software products, particularly HTML5 capabilities, that are expected ...
Central Bank of Ireland Issues Warnings on Unauthorised Investment Firm/Investment Business Firm
December 16th, 2014
The Central Bank of Ireland published the name of an unauthorised investment firm/investment business firm, Vantage Holdings Group Limited (Hong Kong). Vantage Holdings Group Limited (Hong Kong) is not authorised by the Central Bank as investment firm, investment business firm or to provide ...
Regulatory Fine
June 26th, 2015
Global Regulators Cyprus Securities and Exchange Commission (CySec) Fines Imposed for Year 2015 and 2016
Brexit: Financial market participants whose activity might be impacted
December 29th, 2020
The European Securities and Markets Authority (ESMA) remind stakeholders to be aware and prepared for changes that will occur from 1 January 2021. On 29 March 2017, the United Kingdom (UK) notified the European Council of its intention to ...
Individuals and companies charged in $165 million global Binary Options fraud scheme
September 4th, 2020
The Commodity Futures Trading Commission (CFTC) announced on 02 September, 2020 the filing of a civil enforcement action in the U.S. District Court for the Western District of Texas charging six individuals and four companies with operating a fraudulent ...
