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regulator

money

SEC Warns Investors About Marijuana-Related Investments

19/05/2014(0)
The U.S. Securities and Exchange Commission cautioned investors about the potential for fraud in microcap companies that claim their operations relate to the marijuana industry after the agency suspended ... Read More
Cyprus Securities and exchange commission (cysec)

CySec on EU regulation about Ukraine

16/05/2014(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
ASIC_regulator

ASIC issues penalty fine

15/05/2014(0)
The Australian Securities and Investments Commission (ASIC), issued two infringement notices for misleading statements in Product Disclosure Statements (PDS) for two investor funds the company manages as responsible entity ... Read More
Cyprus Securities and exchange commission (cysec)

CySec: acquisition of Administrative Services Providers (ASP) licence

15/05/2014(0)
The Cyprus Securities and Exchange Commission (CySec), the Cypriot financial regulatory authority, has announced that the following firms have successfully obtained the CySec license to operate as Administrative Services ... Read More
citi-group1

SFC resolves concerns over Citigroup’s algorithmic trading system

14/05/2014(0)
The Securities and Futures Commission (SFC) has reprimanded Citigroup Global Markets Asia Limited (Citigroup) for its failure to ensure that certain securities orders executed through its algorithmic trading system ... Read More
Reserve Bank of New Zealand

Reserve Bank of N.Zealand: Financial system sound, but risks remain

14/05/2014(0)
Reserve Bank Governor Graeme Wheeler said today when releasing the Bank’s May Financial Stability Report that New Zealand’s financial system remains sound, and well placed to support the expansion in ... Read More
regulatory_compliance

Three Signs the Best Days of Private Equity Are Over

12/05/2014(0)
Lest the buyout industry feel left out of the regulatory crackdown that has recently been visited upon hedge funds and major banks, the Securities and Exchange Commission indicated it’s ... Read More
FCA_regulator

FCA warning against unauthorised firms

09/05/2014(0)
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a warning informing the investors that the following firms are not permitted to provide any financial services ... Read More
TAX-REFORM-US

SEC Announces Charges and Asset Freeze Against Hedge Fund Advisory Firm

08/05/2014(0)
The U.S. Securities and Exchange Commission has announced fraud charges and an asset freeze against a New York-based investment advisory firm and two executives for distributing falsified performance results ... Read More
FCA_regulator

FCA warning against unauthorised firms

08/05/2014(0)
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a warning informing the investors that the following firms are not permitted to provide any financial services or ... Read More
Broker Cyprus TopFX