Search Results for: compliance
iSignthis Merchant UBO & PSC Verification service goes live with Borgun
June 22nd, 2017
iSignthis Ltd (ASX : ISX / FRA : TA8) is pleased to announce that our Merchant UBO & PSC Verification service is now live with Icelandic card acquirer and issuer, Borgun. The iSignthis service will allow Borgun to verify ...
ASIC reports on supervision of registered liquidators for 2016
June 22nd, 2017
ASIC today released its sixth annual report into the supervision of registered liquidators. Report 532 ASIC regulation of registered liquidators: January to December 2016 details the supervisory, enforcement, stakeholder liaison, policy and educative work ASIC undertook in its commitment ...
iSignthis cross lists on Frankfurt Stock Exchange under code “TA8”
June 21st, 2017
iSignthis Ltd begin trading under the code TA8 on the Frankfurt Stock Exchange (FSE). Australian Securities Exchange (ASX) listed iSignthis Ltd (ASX: ISX) is pleased to announce that it has today cross listed on the Frankfurt Stock Exchange (FSE) ...
Robo-advice has been increasingly adopted; FMA seeks feedback on robo-advice exemption
June 21st, 2017
The Financial Market Authority (FMA) of New Zealand has released today an announcement to get feedback on robo-advice exemption. According the announcement issued, the FMA is seeking feedback on its proposals to allow entities to provide personalised financial advice ...
Broadridge Launches Trade Reporting Solution for SFTR Regulatory Change
June 21st, 2017
Broadridge Financial Solutions, Inc. (NYSE: BR) announced the launch of its trade reporting solution for the European Securities and Markets Authority’s (ESMA) forthcoming Securities Financing Transaction Regulation (SFTR). Broadridge’s new offering will enable market participants of all types to ...
Robert Evans III Named Deputy Director in SEC’s Division of Corporation Finance
June 21st, 2017
The Securities and Exchange Commission (SEC) announced that Robert Evans III has been named Deputy Director in the agency’s Division of Corporation Finance. He will join Deputy Director Shelley Parratt as a senior advisor to the division’s director, William ...
The Ontario Securities Commission Publishes Report on Exempt Market Activity
June 16th, 2017
The Ontario Securities Commission (OSC) today published OSC Staff Notice 45-715 2017 Ontario Exempt Market Report, which provides a snapshot of the current state of Ontario’s exempt market and a preliminary assessment of recent regulatory reforms. The report summarizes ...
Oil prices update: Rising U.S. oil output affect the OPEC-led cuts
June 16th, 2017
Oil sits near half-year lows as global supply overhang weighs Oil prices were not far off six-month lows, held down by an ongoing supply overhang that persists despite an OPEC-led effort to cut production and prop up crude markets. ...
EU launches infringement procedures against three countries for refusing to take refugees
June 15th, 2017
The European Commission has today launched infringement procedures against the Czech Republic, Hungary and Poland for non-compliance with their obligations under the 2015 Council Decisions on relocation. Despite the Commission’s repeated calls for action, these three countries remain in ...
UBS Securities pays penalties
June 15th, 2017
UBS Securities pays $280,000 in infringement notice penalties UBS Securities Australia Limited (‘UBS’) has paid penalties totalling $280,000 to comply with two infringement notices given to it by the Markets Disciplinary Panel (‘the MDP’). The first infringement notice ($140,000) ...
