Search Results for: SEC
CySec warning about a Cyprus Investment Firm
March 19th, 2015
The Cyprus Securities and Exchange Commission (CySec) wishes to inform the investors about the company ‘P.M. Investment Capital Ltd’ (‘P.M.’): P.M. is authorised (no. 243/14) by CySEC to provide investment services in relation to financial instruments but is not allowed, ...
Second largest Luxembourg AIFM chooses Linedata for Regulatory Reporting Solution
March 18th, 2015
Linedata (NYSE Euronext: LIN), the global solutions provider dedicated to the investment management and credit industries, today announced that MUGC Lux Management S.A. (“MUGC LM”), the management company of Mitsubishi UFJ Global Custody S.A. (“MUGC”), both members of Mitsubishi ...
Consumer groups accuse SEC of ignoring investors
March 13th, 2015
The Securities and Exchange Commission is not fulfilling its duty to protect retail investors, particularly in how it regulates financial advisers, a number of consumer groups asserted in a letter to the agency. The eight-page letter dated March 10 outlines several ...
GP GLOBAL LTD issued an announcement regarding preparation for CySec Exams
March 12th, 2015
GP Global LTD announced that: GP GLOBAL LTD in collaboration with MEERKAT CITY, 360 CONSULTING, and other prominent professionals are co-organizing the exam preparation courses for the certification of persons employed in the Cyprus financial sector. The wealth of ...
RBS Trader Admits Defrauding Customers in Multimillion Dollar Securities Fraud Scheme
March 12th, 2015
U.S. Attorney Deirdre M. Daly of the District of Connecticut, Special Inspector General Christy Romero for the Troubled Asset Relief Program (SIGTARP) and Special Agent in Charge Patricia M. Ferrick of the FBI’s New Haven Division announced that Matthew ...
CySec warning against unauthorised firm
March 12th, 2015
The Cyprus Securities and Exchange Commission (CySec) wishes to inform the investors that the company ‘TD Options Limited’ (www.basicventure.com/abouttdoption): 1. Is not permitted to provide investment and ancillary services in the Republic, pursuant to Investment Services and Activities and Regulated ...
ESMA sees continued tense securities market conditions
March 12th, 2015
The European Securities and Markets Authority (ESMA) has published its Report No. 1, 2015 on Trends, Risks and Vulnerabilities in European Union (EU) securities markets, covering market developments from July to December 2014. The report finds that market conditions in the ...
BCSC panel fines former registrant for illegally advising on purchase of securities
March 11th, 2015
A British Columbia Securities Commission panel has fined Roberta Merlin McIntosh (a.k.a. Berta McIntosh, Roberta Sims, Roberta Butcher, Roberta Mayer) $30,000 for illegally advising an investor to purchase exempt market securities. The panel also ordered that McIntosh be banned from participating ...
CySec imposes administrative fine of €5.000 to a CIF
March 11th, 2015
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform investors that: In its meeting held on February 09, 2015, decided to impose a total administrative fine of €5.000 to CIF TTCM Traders Trust Capital Markets ...
Phillip Boakes sentenced following FCA prosecution
March 9th, 2015
Following an FCA prosecution, Phillip Boakes was today sentenced at Southwark Crown Court to ten years’ imprisonment for defrauding investors of at least £3.5m, using false instruments and accepting deposits without authorisation. Boakes pleaded guilty to two counts of ...
