Search Results for: OCED
CySec informs in relation to Starfish Markets (CY)
March 25th, 2016
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform investors regarding the company ‘Starfish Markets (CY). According CySec’s announcement, the company ‘Starfish Markets (CY) Ltd’ (‘the Company’) has obtained a license by the CySEC to operate as ...
Apple preps one-touch shopping for the mobile Web
March 25th, 2016
Apple is preparing to bring one-touch online shopping to the mobile Web later this year, enabling consumers with Safari browsers running on the consumer electronic group’s phones and tablets to use Apple Pay and TouchID to make a purchase. ...
FINRA and Nasdaq Fine Wedbush Securities Inc. $675,000 For Supervisory Violations Relating to Chronic Fails to Deliver by a Client in Multiple Exchange-Traded Funds
March 22nd, 2016
The Financial Industry Regulatory Authority (FINRA) and The Nasdaq Stock Market LLC (Nasdaq) announced today that they jointly censured and fined Wedbush Securities Inc. $675,000 for supervisory violations in connection with its handling of a client’s redemption activity and ...
CFTC Approves Substituted Compliance Framework in Follow-up to the Recent Equivalence Agreement between the US and the EU
March 18th, 2016
The U.S. Commodity Futures Trading Commission (CFTC) today unanimously approved a substituted compliance framework for dually-registered central counterparties (CCPs) located in the European Union (EU), together with a comparability determination with respect to certain EU rules. Today’s action follows ...
Credit Suisse Accused of Money Laundering by Billionaire
March 17th, 2016
Former Georgian PM alleges bank failed to control ex-manager Geneva criminal complaint is latest to target the Zurich bank Lawyers for Georgia’s billionaire former prime minister Bidzina Ivanishvili accused Credit Suisse Group AG of money laundering as they step ...
FINRA Reports on Effective Practices for Digital Investment Advice
March 17th, 2016
Financial services firms’ offerings of digital investment advice need sound governance and supervision, including effective means of overseeing suitability of recommendations, conflicts of interest, customer risk profiles and portfolio rebalancing, according to a new report from the Financial Industry Regulatory Authority ...
BNP Paribas Cash Managament launches first-ever service designed to assist online marketplaces with their compliance
March 17th, 2016
This is a ‘first’ in the banking world: BNP Paribas has launched a new service aimed at e-commerce sites and other online marketplaces, which will enable them to bring their financial transactions into full compliance with the regulations. BNP ...
Better law-making agreement adopted by the Council
March 16th, 2016
The Council, the European Parliament and the Commission will cooperate more closely to ensure a better delivery to European citizens and businesses. That is the main purpose of a better law-making agreement adopted by the Council on 15 March ...
CySec imposed Administrative Fine on BDSwiss Holding Ltd
March 16th, 2016
Further to the announcement issued today regarding the imposition of Administrative Fine on CIF SpotOption Exchange Ltd, the Cyprus Securities and Exchange Commission (CySec) has today issued a second announcement to inform investors that the Commission has imposed an administrative ...
CySec fines SpotOption Exchange Ltd
March 16th, 2016
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform investors that the Commission has imposed an administrative fine of €10.000 on the Cypriot Investment Firm (CIF) SpotOption Exchange Ltd for non-compliance with the following the Investment ...
