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Regulators

FCA_regulator

FCA restricts distribution of CoCos to retail investors

05/08/2014(0)
The Financial Conduct Authority (FCA) will restrict firms from distributing contingent convertible securities (CoCos) to the mass retail market from 1 October 2014. CoCos are highly complex and the ... Read More
Cyprus Securities and exchange commission (cysec)

CySec: renouncement of licence

05/08/2014(0)
The Cyprus Securities and Exchange Commission (CySec), the Cypriot regulator, announced that, on 31st July 2014, the CIF “LQD Markets Ltd”, which provided investment services via the domain www.lqdmarkets.com, renounced ... Read More
ASIC_regulator

Credit Suisse AG pays $88,400 infringement notice penalty

04/08/2014(0)
The Australian Securities and Investments Commission has published the following announcement regarding a fine charged against Credit Suisse AG: Credit Suisse AG (“Credit Suisse”) has paid a penalty of ... Read More
sec

SEC Obtains Nearly $70 Million Judgment Against Richmond, Va.

04/08/2014(0)
The Securities and Exchange Commission has announced that it has obtained a final judgment in federal court in Tennessee requiring a Richmond, Va.-based financial services holding company, a subsidiary ... Read More
Cyprus Securities and exchange commission (cysec)

EU regulation concerning restrictive measures in view of Russia’s actions

04/08/2014(0)
The Cyprus Securities and Exchange Commission (CySec) informs the Cyprus Investment Firms, Management Companies, Administrative Services Companies and Regulated Markets (‘the Regulated Entities) about the publication in the Official ... Read More
Finans

Danish regulator warns against unauthorised firm

01/08/2014(0)
The Danish Financial Supervisory Authority has been informed that Green Seed Capital unsolicited has offered to carry out financial services. The company’s address is 1 Harbour View Street, Central, ... Read More
European Central Bank

Single Euro Payments Area makes major changes to retail changes

01/08/2014(0)
The European Central Bank (ECB) today marks a major milestone in the integration of retail payments in Europe. After 15 years of work, the Single Euro Payments Area (SEPA) ... Read More
Cyprus Securities and exchange commission (cysec)

CySec: Certifying Examinations application is now accepted

01/08/2014(0)
The Cyprus Securities and Exchange Commission (CySEC) has announced that applications are now being accepted for the examinations leading to registration in the Public Register of Certified Persons employed ... Read More
Danske Bank

Danske Bank Reprimanded by FSA for underestimating Risk of Loans

01/08/2014(0)
Denmark’s financial regulator reprimanded Danske Bank A/S for underestimating the risk of losses in a part of its retail lending business. Denmark’s biggest lender couldn’t prove a group of ... Read More
Cyprus Securities and exchange commission (cysec)

CySec: acquisition of Administrative Services Providers (ASP) licence

01/08/2014(0)
The Cyprus Securities and Exchange Commission (CySec), the Cypriot financial regulatory authority, has announced that “Company Express (Cyprus) Ltd” has successfully obtained the CySec licence to operate as Administrative ... Read More
Broker Cyprus TopFX