Search Results for: Securities and Exchange Commission
The Cyprus Regulator fined €20.000 an Administrative Service Provider
February 9th, 2018
The Board of the Cyprus Securities and Exchange Commission (‘CySEC’) has issued today an announcement to inform the public that, at its meeting held on 20th November 2017, decided to impose a total administrative fine of €20.000 on the ...
CySEC fined €30.000 a Cyprus Investment Firm
February 6th, 2018
The Board of the Cyprus Securities and Exchange Commission (‘the CySEC’) has issued today an announcement to inform the public that, at the meeting held on 20th November 2017, decided to impose an administrative fine of €30.000 to the CIF ...
Institutional brokerage provider fined $1.5 Million
February 6th, 2018
The Financial Industry Regulatory Authority (FINRA) announced that it has fined Wedbush Securities Inc. $1.5 million for violating the Securities and Exchange Commission’s (SEC) Customer Protection and Net Capital Rules, and for related supervisory and books and records failures. ...
CySEc decided to withdraw the authorization of a Cyprus Investment Firm
February 6th, 2018
The Cyprus Securities and Exchange Commission (‘CySEC’) has issued an announcement to inform that, on its meeting of 25th September 2017, has decided, pursuant to sections 25(1)(b) and 26(4)(b) of the Investment Services and Activities and Regulated Markets Law ...
CySec announced the authorisation of two Cyprus Investment Firms
February 5th, 2018
The Cyprus Securities and Exchange Commission (CySec), the financial regulatory authority of Cyprus, has issued two announcements to inform that new companies have been approved by the Commission as Cyprus Investment Firms (CIFs). According the announcements, the firms Grandis ...
Online retail Forex provider fined for multiple compliance failings
January 23rd, 2018
The Cyprus Securities and Exchange Commission (“CySEC”) has issued an announcement to inform about the imposition of a financial penalty on Spot Capital Markets Ltd. (the “Company”), an investment firm that provides online retail trading products in forex. A ...
CySec informs that two Administrative Services Providers waived their authorisation
January 16th, 2018
The Cyprus Securities and Exchange Commission (CySec) has issued today two announcements to inform that two firms providing Administrative Services waived their authorisation. According the CySec’s announcement, the firms Providing Administrative Services, Zoeline Consultants Ltd and Westring Consulting Services ...
Shareholder of a Cyprus Investment Firm fined by CySec
January 11th, 2018
The Board of the Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform the public that, at its meeting held on 13 November 2017, decided to impose an administrative fine of €10.000 to Mr. Pavel Krymov, ...
Grant Thornton fined $1.5 Million
January 4th, 2018
PCAOB Announces $1.5 Million Settlement with Grant Thornton for Quality Control Violations and Audit Failures. The Public Company Accounting Oversight Board today announced a $1.5 million civil penalty and censure against Grant Thornton LLP for violations of quality control ...
CySec announced two firms authorised as Cyprus Investment Firms
December 21st, 2017
The Cyprus Securities and Exchange Commission (CySec), the financial regulatory authority of Cyprus, has issued two announcements to inform that new companies have been approved by the Commission as Cyprus Investment Firms (CIFs). According the announcements, the firms Aquilla ...
