Search Results for: Vest Financial
Former financial planner of Westpac banned for five year
June 8th, 2017
ASIC has banned Mr Sudhir Kumar Sinha, a financial planner from Western Australia, from providing financial services until 2 June 2022. Mr Sinha was an employed representative of Westpac Banking Corporation from 2001 to 10 November 2014. ASIC’s investigation ...
The FMA warns: the number of dubious providers in the Austrian financial market remains high
June 7th, 2017
Austria’s independent, autonomous and integrated supervisory and resolution authority FMA informs in relation to Austrian financial market Investor Warnings issued. According the announcement: In 2016, the FMA initiated a total of 162 investigations in relation to the combatting of unauthorised ...
ASIC Cancels the Financial Services License of a Firm
June 7th, 2017
ASIC has cancelled the Australian financial services (AFS) licence of Sydney based company Investment Advisers Alliance Pty Limited (AFS 237902) for failing to lodge its financial statements and auditor’s reports for four consecutive years. ASIC Deputy Chairman Peter Kell ...
Accounting watchdog announces the closure of its investigation into PwC as auditors of Tesco
June 6th, 2017
The Financial Reporting Council (‘FRC’) announces the closure of its investigation into the conduct of PricewaterhouseCoopers LLP (‘PwC LLP’) and certain Members of the Institute of Chartered Accountants in England and Wales in their capacity as auditors of Tesco ...
CySec announced that a new Cyprus Investment Firm got the CIF license
June 2nd, 2017
The Cyprus Securities and Exchange Commission (CySec), the financial regulatory authority of Cyprus, has issued an announcement to inform that a new firm has been approved by the Commission as a Cyprus Investment Firm. According the announcement the firm Fidus Investment ...
5 Highly Respected Financial Experts That Are Warning That A Market Crash Is Imminent
June 1st, 2017
5 Highly Respected Financial Experts That Are Warning That A Market Crash Is Imminent If everything is going to be “just fine”, why are so many big names in the financial community warning about an imminent meltdown? I don’t ...
Euro to Pound: Analysts of global financial firm eye breaking of £0.90
June 1st, 2017
EUR / GBP Outlook: Morgan Stanley Eye Breaking of £0.90 Expect the Euro to make further gains against the British Pound say analysts at one of the world’s largest investment banks. “We are buyers of most EUR crosses, helped ...
CySec announced partial suspension of a Cyprus Investment Firm authorization
May 30th, 2017
The Cyprus Securities and Exchange Commission (CySec) announces that the authorisation of the Cyprus Investment Firm Xtrade Europe Ltd (‘the Company’), number 108/10, is partially suspended for the provision of financial services and the performance of financial activities to ...
Financial Penalties Imposed on Credit Suisse and UOB for 1MDB-Related Transactions
May 30th, 2017
The Monetary Authority of Singapore (MAS) announced today that it has completed its two-year review of banks involved in 1MDB-related transactions known to-date. In its latest regulatory actions, MAS has imposed financial penalties on Credit Suisse and United Overseas ...
The Spanish Regulator warns for unregistered financial services providers
May 24th, 2017
The National Securities Market Commission (CNMV) has issued a warning to inform investors and public on the following entities: FIRST INVESTMENTS CAPITAL MARKETS WWW.FIRSTINVESTMENTSCAPITALMARKETS.COM WWW.FIRST-UNION-ESP.COM WWW.TOROPTION.COM/ES DGX SYSTEM LTD WWW.OPTIONCM.COM DGX SYSTEMS LTD (PRIME FX BANK / PFXBANK) WWW.PFXBANK.COM WWW.PFX-BANK.COM ...
