Search Results for: Securities and Exchange Commission
CySec: Regulation for Ukraine
May 8th, 2014
The Cyprus Securities and Exchange Commission (CySec) informs, the Cyprus Investment Firms, the Management Companies, the Administrative Services Companies and the Regulated Markets (‘the Regulated Entities) about the publication in the Official Journal of the European Union of the ...
CySec: renouncement of license
May 6th, 2014
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement as follows: On 18th of November 2013, the CIF «NCI Finance Ltd», which provided investment services via the domain www.ncifinance.com, renounced its authorization pursuant to section 24(1)(b) of the ...
China North East Petroleum Executive’s Case Ends in Mistrial
April 29th, 2014
A fraud case against a former vice president of China North East Petroleum Holdings Ltd. ended in a mistrial after jurors failed to agree on charges that he was part of a scheme to divert share offering proceeds, according ...
SEC Charges Six Individuals With Insider Trading in Stock of E-Commerce Company Prior to Acquisition by eBay
April 28th, 2014
The U.S. Securities and Exchange Commission (SEC), has charged a former executive with insider trading in advance of eBay’s acquisition of the e-commerce company where he worked by tipping friends and relatives with confidential information about the pending deal ...
CySec: regarding fx financial instruments
April 25th, 2014
The Cyprus Securities and Exchange Commission (CySec), has issued a press release informing the Cyprus Investment Firms (‘the CIFs’) about the following: 1. Concerns have been raised about the lack of harmonisation between the EU Member States on where ...
CySec announcement on legal enquiries
April 16th, 2014
The Cyprus Securities and Exchange Commission (CySec), has issued a press release following its previous announcements of 1.11.2007 and 5.5.2010, and reminding all interested parties that, although it is an administrative body and has no obligation to provide legal ...
SEC Charges San Diego-Based Investment Adviser
April 16th, 2014
The U.S. Securities and Exchange Commission has announced charges against a San Diego-based investment advisory firm, its chief executive officer, chief compliance officer, and another employee for misleading investors and breaching their fiduciary duties to clients. The SEC’s Enforcement ...
SEC charges brokerage firm
April 15th, 2014
The US Securities and Exchange Commission has announced another round of charges in its ongoing case against several individuals involved in a massive kickback scheme to secure the bond trading business of a state-owned Venezuelan bank. The SEC alleges ...
CySec: acquisition of Administrative Services Providers (ASP) licence
April 14th, 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): Profecto Management and Consultancy Limited Equation Corporate Services Ltd ...
CySec: renouncement of license
April 14th, 2014
The Cyprus Securities and Exchange Commission announces that, on 18 February 2014, the CIF «Magline Investments Ltd» (‘the Company’), which provided investment services via the domain www.trading247.com, renounced its authorization pursuant to section 24(1)(b) of the Investment Services and ...