Search Results for: Securities and Exchange Commission
CySec warns for a serious financial scam regarding individuals impersonating CySec officers
November 27th, 2015
The Cyprus Securities and Exchange Commission (CySec), the financial regulator of Cyprus, has issued today a warning to inform investors and the general public that it has come to its attention that several types of financial scam messages and/or ...
Currency Spoofing Is Said to Be New York’s Latest Target
November 24th, 2015
Subpoenas sent to brokers including TFS-ICAP, Tullett Prebon Schneiderman probing FX options linked to emerging markets The New York attorney general is investigating possible manipulation in foreign-exchange trading, according to a person familiar with the matter, aiming more scrutiny ...
FINRA fines Scottrade $2.6 Million
November 17th, 2015
FINRA Fines Scottrade $2.6 Million for Significant Failures in Required Electronic Records and Email Retention The Financial Industry Regulatory Authority (FINRA) announced today that it fined Scottrade, Inc. $2.6 million for failing to retain a large number of securities-related ...
Deloitte eyes global accountancy blockchains
November 13th, 2015
Good karma was the consensus among those watching and in attendance at Ethereum’s DevCon1 conference when big four accountancy firm Deloitte took to the stage in the guise of the technology-focused Rubix Project. Matthew Spoke, strategy and execution lead ...
CySec issued warning regarding www.noeruscapital.com
November 12th, 2015
The Cyprus Securities and Exchange Commission (CySec), the regulatory authority in Cyprus, has issued a press release to warn public in relation with an unauthorised entity. Specific, CySec warns that the entity which operates the website “www.noeruscapital.com“: 1. Is not permitted ...
CySec Warning: www.bulletinvestment.com
November 9th, 2015
The Cyprus Securities and Exchange Commission (‘CySEC’) wishes to inform investors that the entity which operates the website http://www.bulletinvestment.com/: 1. Is not permitted to provide investment and ancillary services in the Republic, pursuant to Investment Services and Activities and ...
SEC warns for fraudsters who may attempt to manipulate share prices by using social media
November 6th, 2015
The U.S. Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy (“OIEA”) is issuing this Investor Alert to warn investors about fraudsters who may attempt to manipulate share prices by using social media to spread false or ...
New York investigating Exxon over climate statements: source
November 6th, 2015
The New York attorney general has launched an investigation into whether Exxon Mobil Corp (XOM.N) misled the public and shareholders about the risks of climate change. Attorney General Eric Schneiderman subpoenaed the company on Wednesday evening, demanding extensive financial ...
French Regulator Considers Fining Virtu Financial for 2009 Trading
November 6th, 2015
Autorité des Marchés Financiers previously accused Virtu’s Madison Tyler Holdings of violations A French regulator is considering a multimillion euro fine for Virtu Financial Inc. as it weighs a penalty for trading that took place in 2009. France’s Autorité des Marchés Financiers ...
CySec informs regarding the Continuance of Suspension of CIF license of an investment firm
November 2nd, 2015
The Cyprus Securities and Exchange Commission (CySec) has issued today an announcement to inform on its decision in the meeting dated 26 October for Continuance of Suspension of CIF licence of the firm ‘Falcon Brokers Ltd’ with number 128/10. ...
