Search Results for: compliance
NYSE Completes Move To A New Regulatory Approach And Announces Key Leadership Appointments
March 17th, 2016
The New York Stock Exchange, a subsidiary of the Intercontinental Exchange (NYSE:ICE), a leading operator of global exchanges, today announced it has completed the transition of its regulatory services, along with two leadership appointments in the areas of Listings ...
NFA orders Plantation, Florida retail foreign exchange dealer and swap dealer IBFX to permanently withdraw from NFA membership
March 16th, 2016
National Futures Association (NFA) has ordered IBFX, Inc. (IBFX), an NFA Member registered retail foreign exchange dealer and provisionally registered swap dealer (SD) located in Plantation, Florida, to permanently withdraw from NFA membership and from acting as a principal of an ...
CySec imposed Administrative Fine on BDSwiss Holding Ltd
March 16th, 2016
Further to the announcement issued today regarding the imposition of Administrative Fine on CIF SpotOption Exchange Ltd, the Cyprus Securities and Exchange Commission (CySec) has today issued a second announcement to inform investors that the Commission has imposed an administrative ...
CySec fines SpotOption Exchange Ltd
March 16th, 2016
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform investors that the Commission has imposed an administrative fine of €10.000 on the Cypriot Investment Firm (CIF) SpotOption Exchange Ltd for non-compliance with the following the Investment ...
ICAP’s Post Trade Risk and Information division announces completion of a blockchain proof of technology
March 15th, 2016
ICAP plc (IAP.L), a leading markets operator and provider of post trade risk mitigation and information services, announces today that its Post Trade Risk and Information (“PTRI”) division has successfully completed a proof of technology test case for a ...
Fintech funding hits all-time high in 2015, despite pullback in Q4: KPMG and CB Insights
March 11th, 2016
KPMG and CB Insights release their inaugural quarterly fintech venture capital (VC) report, highlighting a record year for venture-backed fintech startups in 2015, but waning investor appetite to close out the year. While 2015 marked a banner year for ...
CySec fines CommexFX Ltd
March 11th, 2016
The Cyprus Securities and Exchange Commission (‘CySEC’) has imposed an administrative fine of €50.000 on the Cypriot Investment Firm (CIF) CommexFX Ltd for violation of the section 139(2) of the Investment Services and Activities and Regulated Markets Law of 2007, ...
Bitcoin Group withdraws from its IPO and ASX listing application
March 10th, 2016
Bitcoin Group Ltd has issued a press release to inform investors in relation to its IPO and ASX listing application. Below is the press release as it was published by the company: The Directors of Bitcoin Group Ltd would firstly ...
Two Cayman Island Financial Institutions Plead Guilty in Manhattan Federal Court to Conspiring to Hide More Than $130 Million in Cayman Bank Accounts
March 10th, 2016
Cayman Companies Admit to Helping U.S. Taxpayer-Clients Hide Assets in Offshore Accounts, and Agree to Produce Account Files of Non-Compliant U.S. Taxpayers First Conviction of Non-Swiss Financial Institution For Tax Evasion Conspiracy U.S. Attorney Preet Bharara for the Southern ...
KPMG Announces Agreement With IBM Watson To Help Deliver Cognitive-Powered Insights
March 9th, 2016
Deal accelerates adoption of new technologies across KPMG’s businesses, strengthening firm’s commitment to reinforcing confidence in the capital markets KPMG LLP and IBM (NYSE: IBM) today announced plans to apply IBM’s Watson cognitive computing technology to KPMG’s professional services offerings. The agreement, including ...
