Search Results for: FSA
DGCX Group receives recognised body status by DFSA
June 8th, 2015
Recognition allows DIFC registered entities access to DGCX Group to trade and clear wide ranging products The Dubai Gold and Commodities Exchange (DGCX) and its CCP Operator arm, Dubai Commodities Clearing Corporation (DCCC) has been granted the status of ...
DFSA Fines Deutsche Bank AG for Serious Breaches
April 16th, 2015
The Dubai Financial Services Authority (“DFSA”), announced, that it has fined the DIFC branch of Deutsche Bank AG (“DBDIFC”), USD $8,400,000 (AED 30,849,000) for serious contraventions. Those contraventions include misleading the DFSA, failures in DBDIFC’s internal governance and systems ...
ESMA and JFSA conclude an MoC regarding CCPs
February 24th, 2015
The European Securities and Markets Authority (ESMA) and the Financial Services Agency of Japan (JFSA) have concluded a Memorandum of Cooperation (MoC). The MoC establishes cooperation arrangements between the signatory authorities regarding Central Counterparties (CCPs) that are established in ...
MFSA: Warning against INTERACTIVE BROKERAGE LTD (former GLOBAL MARKETS LTD)
February 18th, 2015
INTERACTIVE BROKERAGE LTD (former GLOBAL MARKETS LTD) The Financial Supervision Commission (FSC) draws investors’ and all interested parties’ attention on the fact that starting from February 5th, 2015 GLOBAL MARKETS LTD. changed its corporate name and the new name ...
FSA Notice: Termination of the Management Licence of A.J.K. Corporate Services (Mauritius) Limited
February 5th, 2015
The Financial Services Commission, Mauritius (“FSC Mauritius”) wishes to inform the public that A.J.K. Corporate Services (Mauritius) Limited, bearing licence number MC13000157 and having its registered address at c/o Mauritius International Trust Company Limited, 4th floor, Ebene Skies, Rue ...
MFSA: Circular to the financial services industry on the issue of the PRIIPS Regulation
February 4th, 2015
The Malta Financial Services Authority (MFSA) would like to draw the attention of the financial services industry to the publication of Regulation (EU) No 1286/2014 of the European Parliament and of the Council of the 26 November 2014 on key information ...
MFSA Public Notice
February 2nd, 2015
Malta Financial Services Authority issued a Public Notice informing that: Surrender of Licence by FMG Funds SICAV plc granted in relation to FMG (EU) Global Allocation Fund This notice is to make the general public aware that FMG Funds SICAV ...
Exchange of Letters on co-operation in the area of financial institutions supervision with the Indonesia FSA
January 27th, 2015
On January 23, 2015, the Financial Services Agency and the Indonesia Financial Services Authority (Otoritas Jasa Keuangan: OJK) exchanged letters on co-operation in the area of financial institutions supervision. In view of the growing globalization of the world’s financial ...
Spanish regulator warns against unauthorised firm through MFSA
November 26th, 2014
The Malta Financial Services Authority (MFSA), has released a warning from the Spanish Comisión Nacional del Mercado de Valores (CNMV) warning the public that: MILLARD EQUITY, S.A. Centro de Negocios Puerta de Banús. Módulo A. Oficina 1 y 2 29660 Nueva Andalucía. ...
MFSA: Notice to Financial Services Licence Holders
November 6th, 2014
The MFSA has issued a notice to draw the attention of licence holders to the recent publication of two public documents by the Financial Action Task Force (FATF) which have identified countries considered to have strategic deficiencies regarding anti-money ...
