Search Results for: SEC
Unocoin Bitcoin Exchange Blocks Logins due to Security Concers
June 27th, 2017
Unocoin, India’s best-funded bitcoin exchange, has stopped withdrawals and blocked access to customer accounts as a precautionary measure after discovering a security flaw on its server on Friday. In an email sent out to users on Monday evening, Unocoin ...
ASIC commences proceedings against former managing director of Banksia Securities Limited
June 27th, 2017
ASIC has commenced civil penalty proceedings in the Federal Court of Australia in Melbourne against Patrick John Godfrey, former managing director of Banksia Securities Limited (In Liquidation) (Receivers and Managers Appointed) (Banksia). ASIC alleges that: Banksia’s financial reports for ...
CySec announced termination of suspension of a CIF license
June 26th, 2017
The Cyprus Securities ans Exchange Commission (CySec) has issued today an announcement to inform that the partial suspension of the CIF authorization of Xtrade Europe Ltd (the Company), number 108/10, for the provision of financial services and the performance ...
CySec announced more than 1 Million euro in total fines to Members of the Board of Directors of Cyprus Popular Bank
June 22nd, 2017
The Board of the Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform the public that it has investigated the compliance of: Cyprus Popular Bank Public Co Ltd, its Board of Director Members’ and its Group ...
Robert Evans III Named Deputy Director in SEC’s Division of Corporation Finance
June 21st, 2017
The Securities and Exchange Commission (SEC) announced that Robert Evans III has been named Deputy Director in the agency’s Division of Corporation Finance. He will join Deputy Director Shelley Parratt as a senior advisor to the division’s director, William ...
CySec warns investors regarding Airfinance Pro
June 20th, 2017
The Cyprus Securities and Exchange Commission (CySec) has issued today an announcement to inform investors with regards to the company ‘Airfinance Pro Ltd’ (the ‘Company’), that: 1. The Company was authorised by CySec for the provision of investment services ...
CySec: Cyprus Investment Firm providing brokerage services renounced its authorisation
June 19th, 2017
The Cyprus Securities and Exchange Commission (CySec) announces that, on 28th April 2017, the CIF Leadtrade Ltd (the ‘Company’), which provided investment services via the domains www.leadtradeltd.com, www.topoption.com, www.excellenceoption.com, www.prestigeoption.com, www.platiniumoption.com, www.optionsclick.com, renounced its authorisation, pursuant to section 24(1)(b) ...
The Ontario Securities Commission Publishes Report on Exempt Market Activity
June 16th, 2017
The Ontario Securities Commission (OSC) today published OSC Staff Notice 45-715 2017 Ontario Exempt Market Report, which provides a snapshot of the current state of Ontario’s exempt market and a preliminary assessment of recent regulatory reforms. The report summarizes ...
UBS Securities pays penalties
June 15th, 2017
UBS Securities pays $280,000 in infringement notice penalties UBS Securities Australia Limited (‘UBS’) has paid penalties totalling $280,000 to comply with two infringement notices given to it by the Markets Disciplinary Panel (‘the MDP’). The first infringement notice ($140,000) ...
CySec has imposed fines in a collective sum of €405,000 on a number of directors and relevant persons of CommexFX
June 8th, 2017
The Cyprus Securities and Exchange Commission (CySec) has issued today a press release to inform about its decision to impose a series of financial penalties on a number of directors and relevant persons of CommexFX Ltd (www.commexfx.com). According the ...
