Search Results for: Securities and Exchange Commission
SEC Warns Investors About Marijuana-Related Investments
May 19th, 2014
The U.S. Securities and Exchange Commission cautioned investors about the potential for fraud in microcap companies that claim their operations relate to the marijuana industry after the agency suspended trading in the fifth such company within the past two ...
CySec on EU regulation about Ukraine
May 16th, 2014
The Cyprus Securities and Exchange Commission (CySec) informs the Cyprus Investment Firms, Management Companies, Administrative Services Companies and Regulated Markets (‘the Regulated Entities) about the publication in the Official Journal of the European Union the following: 1. Council Regulation ...
CySec: acquisition of Administrative Services Providers (ASP) licence
May 15th, 2014
The Cyprus Securities and Exchange Commission (CySec), the Cypriot financial regulatory authority, has announced that the following firms have successfully obtained the CySec license to operate as Administrative Services Providers (ASP): AK Orion Trust Limited Stradlic Ltd Therefore, they ...
CySec imposes administrative fine
May 15th, 2014
The Council of the Cyprus Securities and Exchange Commission (CySec) informs the investors that has decided to impose the administrative fine of € 10.000 in total to the company AFX Capital Markets Ltd (‘ the Company’) for the infringements of: – ...
Investors May Have Gained Early Word on Fed Policy, Study Finds
May 14th, 2014
Some investors may have gotten early word of changes to Federal Reserve policy between 1997 and 2013 and profited by trading before the policy shifts were publicly announced, according to Singapore-based researchers. Trading records show abnormally large price movements ...
SEC Charges Three Sales Managers With Insider Trading Ahead of Major Acquisition
May 13th, 2014
The U.S. Securities and Exchange Commission has charged three former sales managers at San Diego-based Qualcomm Inc. with insider trading ahead of a major acquisition announcement. The SEC alleges that Derek Cohen, Robert Herman, and Michael Fleischli learned through ...
Three Signs the Best Days of Private Equity Are Over
May 12th, 2014
Lest the buyout industry feel left out of the regulatory crackdown that has recently been visited upon hedge funds and major banks, the Securities and Exchange Commission indicated it’s taking a close look at the fees and compliance structures ...
CySec information for Cyprus Investment Firms (CIF)
May 12th, 2014
Cyprus Securities and Exchange Commission (CySec) has issued a press release as follows: As part of the planning of the examinations for certification of persons in accordance with Directive RAA 499/2012, Cyprus Securities and Exchange Commission requests CIFs that ...
CySec: acquisition of licenses
May 9th, 2014
The Cyprus Securities and Exchange Commission (CySec) the Cypriot financial regulatory authority has announced that “Panglobe Group Limited” and “Midland Consult (Cyprus) Ltd” have successfully obtained the CySec license. They are is now authorised to operate legally under the supervision ...
CySec warning against unauthorised firm
May 9th, 2014
The Cyprus Securities and Exchange Commission (CySec), wishes to inform the investors that the entity which operates via the internet domain, (http://www.callandput.com): 1. Is not permitted to provide investment and ancillary services in the Republic, pursuant to the Investment ...
