Search Results for: SEC
Investing in Technology: Outlook and key themes for the technology sector in 2016
March 7th, 2016
Technology was one of the clear winners in 2015, amid a generally lacklustre year for stock markets. The Nasdaq finished the year nearly 6% ahead of the wider S&P 500 index. However, the strength has been confined to a ...
CySec suspended the license of a Cyprus Investment Firm
March 7th, 2016
The Cyprus Securities and Exchange Commission (CySec), has announced that: The authorisation of the Cyprus Investment Firm ‘Pegase Capital Ltd’, number 225/14, is suspended, pursuant to section 26(2) of the Investment Services and Activities and Regulated Markets Law of ...
Pepperstone announces securing investment from Private Equity
March 4th, 2016
Pepperstone announced that CHAMP Private Equity, one of Australia’s leading private equity firms, has made a major strategic investment in the Melbourne based global forex and CFD broker. Pepperstone was founded in 2010 by Owen Kerr and Joe Davenport and ...
Whistleblower says SEC awarded him $750,000 for Nyse tip
March 3rd, 2016
The founder of market data outfit Nanex says that he has been awarded $750,000 for a whistleblowing tip that resulted in the New York Stock Exchange getting slapped with a $5 million SEC fine. In 2012 the Securities and ...
CySec announced Renouncement of license of a Cyprus Investment Firm
March 3rd, 2016
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform that on 22nd February 2016, the CIF Plasma Enterprises Ltd, which provided investment services via the domain www.plasma.com.cy, renounced its authorization pursuant to section 24(1)(b) of ...
IOSCO Publishes the Securities Markets Risk Outlook 2016
March 3rd, 2016
The International Organization of Securities Commissions (IOSCO) today published the IOSCO Securities Markets Risk Outlook 2016, which identifies and examines key trends in global financial markets and the potential risks to financial stability. The Outlook is a forward-looking report ...
Intercontinental Exchange To Acquire Standard & Poor’s Securities Evaluations, Inc. And Credit Market Analysis From Mcgraw Hill Financial
March 2nd, 2016
Intercontinental Exchange (NYSE:ICE), a leading operator of global exchanges, clearing houses and data services, announced today that it has entered into a definitive agreement to acquire Standard & Poor’s Securities Evaluations, Inc. (SPSE), a leading provider of fixed income ...
SFC reprimands and fines Yuanta Securities (Hong Kong) Company Limited $4 million
February 29th, 2016
The Securities and Futures Commission (SFC) has reprimanded and fined Yuanta Securities (Hong Kong) Company Limited (Yuanta Securities) $4 million for failing to disclose the actual execution price and properly and adequately disclose the financial gains it made whilst ...
Canadian securities regulators adopt amendments to early warning system
February 29th, 2016
The Canadian Securities Administrators (CSA) announced today the publication of final amendments that are designed to provide greater transparency about holdings of reporting issuers’ securities under the early warning system. “These final amendments enhance the quality and integrity of the early ...
Moscow Exchange to offer a new type of security – clearing participation certificate
February 29th, 2016
Moscow Exchange is launching a new security called clearing participation certificate (CPC) to allow participants to increase their turnover on the Equity & Bond Market and Money Market. The new instrument combines the advantages of the two most popular ...
