Search Results for: compliance
Australian FinTech Launches Australia’s Only Dedicated FinTech Jobs Platform
August 16th, 2017
The team behind the highly successful Australian FinTech website have soft-launched their FinTech employment marketplace platform, Australian FinTech Jobs. Founder and CEO, Cameron Dart, says AustralianFinTechJobs.com.au has been born on the back of the highly successful Australian FinTech website ...
Upper Tribunal upholds the FCA’s decision to fine and ban former CEO of adviser network
August 10th, 2017
On 8 August 2017, the Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Charles Palmer, former CEO of Financial Limited and Investments Limited (“the Firms”), from performing FCA significant influence functions. The Tribunal also upheld the ...
ESMA updates on transaction reporting, order record keeping and clock synchronisation
August 9th, 2017
The European Securities and Markets Authority (ESMA) has issued an update of its Guidelines on transaction reporting, order record keeping and clock synchronisation under the Markets in Financial Instruments Directive (MiFID II). The updates corrects some unintended factual mistakes, ...
Oil falls for third day
August 9th, 2017
Oil falls for third day as doubts over OPEC cuts linger Crude futures fell for a third day on Wednesday despite a bigger than expected fall in U.S. oil inventories reported by an industry group, with doubts lingering over ...
ASIC updates licence conditions on online broker
August 3rd, 2017
ASIC and OpenMarkets Australia Limited (OpenMarkets) have agreed for an independent expert to monitor, evaluate and report on OpenMarkets’ implementation of recommendations arising from an independent review of its trading and compliance arrangements. The independent expert completed their review ...
PwC to pay $1 Million to settle audit violations
August 3rd, 2017
The Public Company Accounting Oversight Board announced that it censured and imposed a $1 million civil penalty against PricewaterhouseCoopers LLP for violations in its examination and audit of Merrill Lynch, Pierce, Fenner & Smith, Incorporated’s compliance with the Securities ...
CySec fined an executive director of a Cyprus Investment Firm
July 31st, 2017
The Board of the Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform the public that, at its meeting held on 26 June 2017, decided to impose an administrative fine of €10.000 to Mr. Charalambos Kiritsis ...
HSBC reports Interim Results 2017
July 31st, 2017
HSBC Holdings plc has issued today a press release to publish results for the first half of 2017. The highlights according the press release are: Strategic execution Delivered growth from our international network with a 7% increase in revenue ...
Hungarian-Speaking Client Relations Managers
July 28th, 2017
Hungarian-Speaking Client Relations Managers Reference Number: CRMHU1017 The position: We are looking for energetic and self-motivated professionals to join our Client Relations team. The main responsibilities of the position include: Developing and maintaining excellent relationships with prospective and existing ...
Portuguese-Speaking Client Relations Managers
July 28th, 2017
Portuguese-Speaking Client Relations Managers Reference Number: CRMPT1017 The position: We are looking for energetic and self-motivated professionals to join our Client Relations team. The main responsibilities of the position include: Developing and maintaining excellent relationships with prospective and existing ...
