Search Results for: Securities and Exchange Commission
Exchange operator BATS files to go public
December 16th, 2015
BATS Global Markets Inc filed for an initial public offering with U.S. regulators on Wednesday, in what would be the exchange operator’s second attempt at going public. The company told the U.S Securities and Exchange Commission in a preliminary ...
Paul P. Andrews of FINRA Named IOSCO Secretary General
December 16th, 2015
The Board of the International Organization of Securities Commissions (IOSCO) today announced it has appointed Paul P. Andrews as its new Secretary General. Mr. Andrews is currently the Vice President and Managing Director of International at the Financial Industry ...
SFC reprimands and fines three JP Morgan entities a sum of $30 million for regulatory breaches
December 16th, 2015
The Securities and Futures Commission (SFC) has reprimanded J.P. Morgan Broking (Hong Kong) Limited (JPMBHK), J.P. Morgan Securities (Asia Pacific) Limited (JPMSAP) and J.P. Morgan Securities (Far East) Limited (JPMSFE) (collectively “JP Morgan”), and fined them $15 million, $12 ...
Japan securities watchdog seeks penalties against Deutsche Securities
December 8th, 2015
Japan‘s securities watchdog recommended on Tuesday that Deutsche Bank‘s brokerage unit be punished after it provided information about a Japanese company to clients ahead of an earnings release. The Securities and Exchange Surveillance Commission said Deutsche clients were encouraged ...
Standard Bank to Pay $4.2 Million to Settle SEC Charges
December 1st, 2015
Bank Agrees to $36.9 Million Global Settlement with the SEC and the U.K.’s Serious Fraud Office The Securities and Exchange Commission today charged Standard Bank Plc with failing to disclose certain payments in connection with debt issued by the ...
CySec announced imposition of an administrative fine and reprimand for the Directors of Pulp International Business Ltd
November 24th, 2015
The Cyprus Securities and Exchange Commission (CySec) issued an announcement to inform public regarding its decision to impose an administrative fine / reprimand to the Directors of Pulp International Business Ltd. According to CySec, on its meeting held on ...
CySec informs on Contribution of CIFs to the Single Resolution Fund and National Resolution Fund
November 23rd, 2015
The Cyprus Securities and Exchange Commission (CySec), the Cyprus financial regulatory authority, has issued today a circular to inform Cyprus Investment Firms about their contribution the Single Resolution Fund and National Resolution Fund. CySec’s Circular informs in relation to ...
Plus500: Termination of Merger Agreement with Playtech – Update on Plus500 and Ava Trade Ltd
November 23rd, 2015
Further to the determination by Playtech PLC that it will be unable to obtain FCA approval before 31 December 2015, the Company and Playtech agreed to terminate the Merger Agreement. The Board of Plus500 today announces its plans for ...
SEC Proposes Rules to Enhance Transparency and Oversight of Alternative Trading Systems
November 20th, 2015
The Securities and Exchange Commission today announced it has voted to propose rules to enhance operational transparency and regulatory oversight of alternative trading systems (ATSs) that trade stocks listed on a national securities exchange (NMS stocks), including “dark pools.” ...
CFTC charges IB Capital FX and agents for Forex Trading case
November 17th, 2015
The U.S. Commodity Futures Trading Commission (CFTC) filed a civil enforcement Complaint charging Defendants IB Capital FX, LLC (a/k/a IB Capital FX LLP) d/b/a IB Capital (IB Capital), Michel Geurkink, and Emad Echadi, individually and as the agents of IB Capital, with soliciting and accepting ...
