Search Results for: Vest Financial
FCA charge five in alleged investment fraud
June 17th, 2016
Following an investigation by the Financial Conduct Authority Michael Nascimento (DOB: 28/06/1977); Hugh Edwards (DOB: 13/07/1982); Stuart Rea (DOB: 12/02/1968); Ryan Parker (previously known as Ryan Sell DOB 26/11/1992) and Jeannine Lewis (DOB: 15/09/1967), all of whom live in ...
The Impact of “Brexit” on Retail Investors; Monex survey
June 16th, 2016
Twenty-first Monex Global Retail Investor Survey Survey Focusing on the Impact of “Brexit” on Retail Investors Monex, Inc. has published “The Twenty-first Monex Global Retail Survey(*)” that was conducted from May 25 to June 6, 2016. Below is a ...
PwC has a new UK head of Financial Services
June 16th, 2016
PwC has appointed Andrew Kail as leader of its UK Financial Services practice, succeeding Kevin Burrowes who joins PwC UK’s Executive Board from 1 July as Head of Clients & Markets. Andrew has over 25 years of experience with PwC having held a variety of senior roles including most recently as head ...
FCA warns for unauthorised firm providing financial services or products in UK
June 15th, 2016
The Financial Conduct Authority (FCA) has issued warnings to inform investors and public regarding a firm that FCA believes that has been providing financial services or products in the UK without the FCA’s authorisation. According to FCA, some firms act without ...
A new Cyprus Investment Firm is authorised by CySec
June 15th, 2016
The Cyprus Securities and Exchange Commission (CySec), the financial regulatory authority of Cyprus, has issued an announcement to inform that the authority has authorised a new Cyprus Investment Firm. According to CySec, “B.I.A. Blueport Investment Advisors Ltd“ has successfully obtained the CySec ...
IFSC warns for TRADE24 Investments
June 14th, 2016
WARNING NOTICE TRADE24 Investments Ltd. It has come to the notice of the International Financial Services Commission of Belize (IFSC) that an entity calling itself‘TRADE24 Investments Ltd.’ is fraudulently claiming to hold a trading in financial and commodity-based derivative instruments ...
Audit Scotland predicts increase in demand for services in the next financial year
June 13th, 2016
Audit Scotland running costs exceed £25m Audit Scotland is predicting an increase in demand for services in the next financial year as Scotland moves towards increasingly devolved powers, following a record spend on public sector audits and associated costs and services of ...
FRC to investigate Deloitte
June 9th, 2016
The Financial Reporting Council (FRC) has launched an investigation under the accountancy scheme into Deloitte LLP, in relation to the preparation, approval and audit of the financial statements of companies within the Serco group. The investigation is for the financial ...
Malta’s financial services sector continued to expand in 2015
June 9th, 2016
Malta’s financial services sector continued to expand in terms of size, reputation and attractiveness in 2015, backed by a resilient regulatory framework, prudential supervision, consumer protection, and strong money laundering prevention mechanisms. New licences, issued during 2015, were registered most notably in ...
FINRA fined full-service investment firm $2.9 Million
June 9th, 2016
FINRA Sanctions Oppenheimer & Co. $2.9 Million for Unsuitable Sales of Non-Traditional ETFs and Related Supervisory Failures The Financial Industry Regulatory Authority (FINRA) announced today that it has fined full-service investment firm Oppenheimer & Co. Inc. $2.25 million and ordered ...
