Highlights A firm’s culture emerges in large part from inputs that are its responsibility. It is for firms to ensure that their desired culture is consistent with appropriate conduct ... Read More
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Ireland (Central Bank of Ireland), Spain (Comisión Nacional del Mercado de Valores – CNMV), Luxembourg (Commission de ... Read More
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform investors and public that the Commission decided to wholly withdraw the CIF authorization with number CIF ... Read More
Credit Suisse Equities (Australia) Limited (Credit Suisse) has paid a penalty of $170,000 to comply with an infringement notice from the Markets Disciplinary Panel (MDP). The MDP had reasonable grounds ... Read More
Following the voluntarily resignation of the Deputy Governor Markets & Banking and Chief Operating Officer Charlotte Hogg, yesterday, due to conflict of interest and the acceptance of her resignation, the ... Read More
The FCA UK has issued a press release to inform that the below firm has been providing financial services or products in the UK without its authorisation. Almost all ... Read More
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform that the Commission has approved a new firm as Administrative Services Provider (ASP). According the announcement, ... Read More
The Securities and Exchange Commission today announced fraud charges against a Ukraine-based trading firm accused of manipulating the U.S. markets hundreds of thousands of times and the New York-based ... Read More
ASIC has permanently banned Andrew Peter Panayiotides from providing financial services. ASIC found that Mr Panayiotides failed to act in the best interests of clients and provided advice to ... Read More
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform public that at the meeting held on 30th January 2017, the Board of the Commission decided to impose ... Read More
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