Search Results for: Securities and Exchange Commission
Securities broker dealer for bankruptcy liquidation amid legal claims
September 25th, 2015
An 82-employee securities broker-dealer has shut down and filed for Chapter 7 bankruptcy liquidation after customers asked a federal judge to enforce a $1.54 million arbitration award. Fintegra’s Sept. 16 petition for bankruptcy protection lists $1.8 million in assets ...
TMX Group launches New TSX Alpha Exchange
September 22nd, 2015
A key milestone in TMX’s initiative to improve the Canadian trading landscape and reduce market complexity TMX Group announced the successful launch of an innovative new trading model on TSX Alpha Exchange (“Alpha”), designed to improve execution quality for natural ...
Playtech plc: Update on acquisitions of Plus500 Ltd and Ava Trade Ltd
September 21st, 2015
Further to its announcements dated 1 June 2015 and 19 August 2015, the Board announces an update on its acquisitions of Plus500 Ltd. and Ava Trade Ltd. Due to the high profile nature of Playtech‘s acquisition of Plus500, receipt ...
Beijing investigates senior figure at China’s state securities regulator in latest step to crackdown on market irregularities
September 17th, 2015
The assistant chairman of China Securities Regulatory Commission Zhang Yujun is being investigated for ‘disciplinary violations’ The mainland’s anti-graft watchdog is investigating a senior figure at the state securities regulator, as Beijing takes its latest step in cracking down ...
SEC Charges BDO and Five Partners in Connection With False and Misleading Audit Opinions
September 10th, 2015
The Securities and Exchange Commission today charged national audit firm BDO USA with dismissing red flags and issuing false and misleading unqualified audit opinions about the financial statements of staffing services company General Employment Enterprises. The SEC also charged ...
CySec Cyprus warns for unauthorised firm providing investment and ancillary services
September 8th, 2015
The Cyprus Securities and Exchange Commission (CySec) has issued a press release to inform public for an unauthorised firm providing investment and ancillary services in Cyprus. Specific, CySec warns that the company: ‘Lau Global Services Corp’ (https://www.mxtrade.com) 1) Is ...
JPX and Taiwan Stock Exchange Link Markets with Cross-listing of Index Products
September 8th, 2015
Japan Exchange Group, Inc. (JPX) and Taiwan Stock Exchange Corporation (TWSE) will formally link their capital markets with the listing of the “Fubon TOPIX Leveraged 2X Index ETF” and the “Fubon TOPIX Inverse -1X Index ETF” on the Taiwan ...
CySec informs CIF’s and set deadline to comply regarding their web address and Domain name
September 2nd, 2015
The Cyprus Securities and Exchange Commission (CySec) has issued a circular to inform CIF’s regarding the website address they use, their Domain name and possible redirection of their clients to a website of another person. Specific, CySec wishes to ...
U.S. Currency Probe Expands to Russia, Brazil Trades
September 1st, 2015
U.S. prosecutors have expanded their probe of currency-market manipulation by some of the world’s largest banks to include the Russian ruble and Brazilian real, according to two people familiar with the matter. The Justice Department is using cooperation agreements ...
Japan Exchange Group will strenght Market Monitoring of Cross-border Transactions
August 31st, 2015
Japan Exchange Regulation (JPX-R) has issued a press release to announce that it will establish an International Surveillance Office to Strengthen Market Monitoring of Cross-border Transactions. The office will also study regulations and trends outside Japan regarding unfair trading ...
