SEC Alerts Investors, Industry on Cybersecurity
February 4th, 2015
The Securities and Exchange Commission today released publications that address cybersecurity at brokerage and advisory firms and provide suggestions to investors on ways to protect their online investment accounts. “Cybersecurity threats know no boundaries. That’s why assessing the readiness ...
CySec’s announcement
January 28th, 2015
The Cyprus Securities and Exchange Commission (‘CySEC’) wishes to bring to the attention of the supervised entities, the stakeholders and the investing public that: As a result of continuous and coordinated efforts along with other governmental departments and stakeholders, it achieved the ...
SEC Charges Oppenheimer
January 28th, 2015
The Securities and Exchange Commission today charged Oppenheimer & Co. with violating federal securities laws while improperly selling penny stocks in unregistered offerings on behalf of customers. Oppenheimer agreed to admit wrongdoing and pay $10 million to settle the ...
CySec requests further information from CIFs after the recent move on Swiss Franc
January 19th, 2015
The recent move on the Swiss Franc has urgent CySec to ask information from the investment firms under its supervision, on the impact of the move on their business. With a circular, the Cyprus Securities and Exchange Commission (CySec) ...
SEC eyes transfer agents in new front against U.S. stock fraudsters
January 12th, 2015
In their battle to root out microcap stock fraudsters, U.S. securities regulators are turning their attention to the obscure world of transfer agents, who are sometimes in a position to prevent scams, or help to enable them. Transfer agents ...
George Papanicolaou
January 7th, 2015
George Papanicolaou holds a BSc in Electronic Engineering from the University of Texas at Austin (USA), an MBA with specialization in Finance from Leicester University (UK) and a Postgraduate Certificate in the Mechanics of Risk Management from Middlesex University ...
Snapchat reveals $485m of funding at a reported $10bn valuation
January 2nd, 2015
Messaging app Snapchat has raised its latest round of funding, $485.6m, which may value the US-based company at more than $10bn. The funding was revealed in a filing with the US Securities and Exchange Commission (SEC), with 23 investors ...
Fund board severs ties with Thibeault after arrest
December 31st, 2014
Alt fund manager accused of creating fictitious loans no longer has access to the GL Beyond Income Fund The small financial services empire of Daniel Thibeault, a well-known asset manager who was arrested earlier this month on charges of ...
CySec: acquisition of CIF (Cyprus Investment Firms) licence
December 30th, 2014
The Cyprus Securities and Exchange Commission (CySec) the Cypriot financial regulatory authority, has announced that “Granfeld Wealth Management Ltd.“ has successfully obtained the CySec licence for CIF (Cyprus Investment Firms). The firm is now authorised to operate legally under ...
CySec: acquisition of CIF (Cyprus Investment Firms) licence
December 29th, 2014
The Cyprus Securities and Exchange Commission (CySec) the Cypriot financial regulatory authority, has announced that “FX Primus Europe (CY) Ltd.“ has successfully obtained the CySec licence for CIF (Cyprus Investment Firms). The firm is now authorised to operate legally ...
