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Regulators

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FSA takes administrative action against Kookmin Bank

28/08/2014(0)
The Financial Services Agency (FSA) has taken some administrative actions against Kookmin Bank, Japan Branches. Following its on-site inspection and the report prepared by the Japan Branches based on ... Read More
onestopbrokers-Regulators

FCA warns against boiler room clone firm

28/08/2014(0)
Financial Conduct Authority (FCA), the British regulator has issued a warning against boiler room “London Capital Group Asia (Clone of FCA authorised firm) / LCGA Fxplatform / LCG Asia ... Read More
FCA_regulator

FCA fines Deutsche Bank with £4.7m

28/08/2014(0)
Deutsche Bank AG London Branch (Deutsche) has been fined £4,718,800 by the Financial Conduct Authority (FCA) for incorrectly reporting transactions between November 2007 and April 2013. Deutsche failed to ... Read More
sec

SEC Shelves Plan for Private Asset-Backed Bond Disclosure

28/08/2014(0)
The U.S. Securities and Exchange Commission, while expanding disclosure requirements for one set of asset-backed securities, has stepped back from a plan to shed more light on a major ... Read More
financial-services-malta-mfsa

Surrender of Licence by Comino Umbrella Fund SICAV plc

27/08/2014(0)
Comino Umbrella Fund SICAV plc recently requested the Malta Financial Services Authority (“MFSA”) to accept the surrender of the collective investment scheme licence granted in relation to The Stella ... Read More
FCA_regulator

FCA fines RBS and NatWest

27/08/2014(0)
The Financial Conduct Authority (FCA) has today fined The Royal Bank of Scotland and NatWest £14,474,600 for serious failings in their advised mortgage sales business. The firms failed to ... Read More
onestopbrokers-Regulators

SEC Charges Investor Relations Firm Executive

27/08/2014(0)
The Securities and Exchange Commission (SEC) has charged a director of market intelligence at a Manhattan-based investor relations firm with insider trading ahead of impending news announcements by more ... Read More
sec

SEC Announces Pilot Plan to Assess Stock Market Tick Size Impact for Smaller Companies

27/08/2014(0)
The Securities and Exchange Commission (SEC) today announced that the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) filed a proposal to establish a national market system ... Read More
FCA_regulator

FCA warning against unauthorised firm

26/08/2014(0)
The Financial Conduct Authority (FCA), the British financial regulator, has issued a warning informing the investors that “Capital Mergers and Acquisitions” (www.capitalmajp.com) is not permitted to provide any financial services ... Read More
hkex

HKEx Consults On Financial Information Disclosure

26/08/2014(0)
Hong Kong Exchanges and Clearing has published a consultation paper seeking the stockmarket’s view on proposed changes to the Listing Rules, relating to the disclosure of financial information, following ... Read More
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