Search Results for: Vest Financial
CySec announces acquisition of CIF (Cyprus Investment Firms) licence
September 16th, 2015
The Cyprus Securities and Exchange Commission (CySec), the Cypriot financial regulatory authority, has announced that “Alfa Forex Ltd“ has successfully obtained the CySec licence for CIF (Cyprus Investment Firms). The firm is now authorised to operate legally under the supervision of CySec ...
PwC UK achieves strong growth: 2015 financial highlights
September 14th, 2015
Firm launches innovative digital annual report PwC, the professional services firm, has today (14 September) reported revenue growth of 10 percent to £3,083 million for the year ended 30 June 2015, up from £2,814 million the previous year. Profits ...
FSC Mauritius warns on a firm claiming to hold an Investment Dealer Licence
September 14th, 2015
The Financial Services Commission, Mauritius (the “FSC Mauritius”) has issued a warning to alert public with regards to BANK CAPITAL-INVESTMENT MANAGEMENT (“BANK CAPITAL”). The FSC Mauritius has recently been apprised that BANK CAPITAL is claiming to be regulated by the ...
SEC Announces Fraud Charges Against Financial Adviser
September 10th, 2015
SEC Announces Fraud Charges Against Financial Adviser Accused of Greatly Exaggerating Assets Under Management and Investment Returns on Paid Radio Program The Securities and Exchange Commission announced fraud charges against a Maryland-based financial services firm and its founder/CEO accused ...
SFC warns on unlicensed entity Wells Fargo Global Investments (Hong Kong) Limited
September 10th, 2015
Regulatory Commission of Hong Kong, Securities and Futures Commission (SFC), has issued a warning to inform public for an unlicensed entity with the name Wells Fargo Global Investments (Hong Kong) Company Limited. The address of the above company and ...
Snapshots of Foreign Direct Investment Flows
September 9th, 2015
The canonical source for data on flows of foreign direct investment are the reports from the United Nations Conference on Trade and Development, more commonly known as UNCTAD. It’s World Investment Report 2015 provides a discussion of trends up through last ...
SEC Charges Three RMBS Traders With Defrauding Investors
September 9th, 2015
The Securities and Exchange Commission today announced fraud charges against three traders accused of repeatedly lying to customers relying on them for honest and accurate pricing information about residential mortgage-backed securities (RMBS). The SEC alleges that Ross Shapiro, Michael ...
ASIC Australia bans a broker and a former financial adviser from providing financial services
September 8th, 2015
The Australian Securities & Investments Commission (ASIC), has issued a press release to inform in relation to its decision to ban broker Mr. Raghwa Nand Prasad from providing financial services and from engaging in credit activities for four years ...
FCA: New Financial Services Register
September 8th, 2015
A new Financial Services Register makes it easier to find information on firms, individuals and other bodies that are, or have been, regulated by the PRA and/or the FCA. The new Register has one search field to help you find a ...
FINRA Issues Investor Alert, Messaging Apps Are Latest Platform for Delivering Pump-And-Dump Scams
September 4th, 2015
The Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert called Messaging Apps Are Latest Platform for Delivering Pump-And-Dump Scams. FINRA’s new Alert warns investors to be wary of stock promotions sent through increasingly popular messaging apps such as ...
