Search Results for: OCED
TechFinancials informs regarding Completion of Administrative Sanction
August 5th, 2015
TechFinancials has issued a press release to inform that: As stated in the Company’s AIM Admission Document dated 9 March 2015, the Company was subject to an administrative sanction procedure brought by the Consumer Protection Division of Commissione Nazionale ...
Can auditors expand assurance to meet investors’ needs?
August 4th, 2015
A company’s audited financial statements are among the many pieces of information investors consider when they evaluate where to allocate resources. But news releases, company presentations, additional information in annual reports, and non-GAAP key performance indicators and financial metrics ...
SFC fines BNP Paribas Securities (Asia) Limited $15 million for dark liquidity pool-related failures
August 4th, 2015
The Securities and Futures Commission (SFC) has fined BNP Paribas Securities (Asia) Limited (BNPP Securities Asia) $15 million for failures in relation to its dark liquidity pool trading services (Note 1). The disciplinary action follows an SFC investigation into ...
Morgan Stanley brokers say they were underpaid
August 4th, 2015
Several Morgan Stanley financial advisers say they were underpaid thousands of dollars by the bank, which rebuilt its business on the back of the wealth management division where they work, insiders say. Morgan Stanley said the problems were “one-off ...
CySec announced an administrative fine to Banc de Binary
August 3rd, 2015
The Cyprus Securities and Exchange Commission (‘CySEC’) has notified the public that at the meeting held 6th July 2015 decided to impose an administrative fine of €22.000 to Banc de Binary Ltd for violation of the Law which provides ...
Regulator status given to ACCA for conciliation service
August 3rd, 2015
Clients of ACCA members and firms who have exhausted the internal complaints process can now seek assistance via the conciliation service of ACCA ACCA (the Association of Chartered Certified Accountants) has been given the go ahead by the Chartered ...
FXCM Japan clients transferred to Rakuten Securities
August 3rd, 2015
Rakuten Securities announced that the integration procedures of FXCM Japan and Rakuten Securities are completed. FXCM Clients and FX Trading Services are now handled by Rakuten. The integration followed the agreement between FXCM Holdings LLC, FXCM Newco LLC and ...
Brokers hit the ground running on FATCA compliance
August 3rd, 2015
Training and planning have helped insurance brokers meet new tax reporting regulations for 2015, and compliance is moving into the “another part of doing business” phase. Initial reporting under the Foreign Account Tax Compliance Act, meant to help combat ...
AFD founder: ‘Schäuble’s Greece policy is pure marketing’
July 30th, 2015
German Finance Minister Wolfgang Schäuble’s latest plans for a euro tax have solidified the prospect of a transfer union, says Eurosceptic Bernd Lucke in an interview with EurActiv Germany. The founder of the Eurosceptic Alternative for Germany (AfD) party, argues that ...
US watchdog refers PwC to ethics panel
July 30th, 2015
A US Department of Justice (DoJ) agency has referred PwC to the AICPA professional ethics division after finding ‘extensive deficiencies’ in an audit carried out by the US firm into federal grant compliance by a charity called Big Brothers ...
