The Monetary Authority of Singapore (MAS) announced today that it has completed its two-year review of banks involved in 1MDB-related transactions known to-date. In its latest regulatory actions, MAS ... Read More
ASIC has cancelled the Australian financial service licence (AFS) licence of Gallop International Group Pty Ltd, formerly known as Weather Pro Exchange Pty Ltd (ACN 147 664 551) (Gallop). The cancellation ... Read More
ASIC will establish a new regtech industry liaison network, conduct a number of new technology trials using regtech applications and establish a ‘hackathon’ later this year to help identify ... Read More
The Ontario Securities Commission (OSC) today released A Framework for Responsive Market Regulation, a paper presented at Oxford University that addresses how Canadian regulators are responding to changes in ... Read More
The European Securities and Markets Authority (ESMA) has published a Consultation Paper (CP) on the Money Market Funds Regulation (MMFR). The CP contains proposals on draft technical advice (TA), ... Read More
The Securities and Exchange Commission announced charges in an alleged insider trading scheme involving tips of nonpublic information about government plans to cut Medicare reimbursement rates, which affected the stock ... Read More
The Central Criminal Court has made confiscation orders against the two final defendants who were convicted of offences following one of the FCA’s largest investigations into unauthorised activity. The ... Read More
The National Securities Market Commission (CNMV) has issued a warning to inform investors and public on the following entities: FIRST INVESTMENTS CAPITAL MARKETS WWW.FIRSTINVESTMENTSCAPITALMARKETS.COM WWW.FIRST-UNION-ESP.COM WWW.TOROPTION.COM/ES DGX SYSTEM LTD WWW.OPTIONCM.COM ... Read More
Federal Court Orders More than $1 Million in Restitution and Civil Monetary Penalties and Permanently Bans Andrew Kurzbard and His Florida-Based Company, Guardian Asset Group, LLC, for Engaging in ... Read More
Australian financial services licence suspended for failing to lodge financial statements ASIC has suspended the Australian financial services (AFS) licence of NSW-based Divitiarum Audax Pty Limited (‘Divitiarum Audax’) from ... Read More
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