Search Results for: sec
Hedge Fund Manager Jarkesy Loses Bid to Toss SEC Case
June 11th, 2014
Houston hedge-fund manager George Jarkesy Jr. must face a U.S. Securities and Exchange Commission case in which he was accused of steering bloated fees to the John Thomas Financial Inc. brokerage. Jarkesy lost a bid to throw out the ...
CySec on ESMA’s regulation
June 6th, 2014
The Cyprus Securities and Exchange Commission (CySec) draws the attention of the supervised entities, the stakeholders and the investing public to the announcement of the European Securities Markets Authority (ESMA). This announcement refers to the publication of the following ...
High-Speed Trading Rules Coming From SEC
June 6th, 2014
U.S. Securities and Exchange Commission Chair Mary Jo White unveiled the regulator’s most sweeping plan yet for reining in high-frequency trading and monitoring dark pools and other secretive trading practices in the world’s largest equity market. Proprietary traders who ...
CySec: imposition of administrative fines to Cyprus Popular Bank Co Ltd and Bank of Cyprus
June 6th, 2014
CySec announcement dated 05 June 2014 The Cyprus Securities and Exchange Commission (CySec) informs the investors that, at its meeting held on 28 April 2014 , has completed its investigation regarding the investment in Greek Government Bonds from Cyprus ...
SEC Charges Bitcoin Entrepreneur With Offering Unregistered Securities
June 4th, 2014
The U.S. Securities and Exchange Commission has charged the co-owner of two Bitcoin-related websites for publicly offering shares in the two ventures without registering them. An SEC investigation found that Erik T. Voorhees published prospectuses on the Internet and ...
Securities and Exchange Board of India eases short selling norms
June 4th, 2014
Doing away with certain requirements related to short selling, capital market regulator, the Securities and Exchange Board of India (Sebi) has eased norms for entities trading in the Securities Lending and Borrowing segment. SLB mechanism, also referred to as short-selling, ...
SEC Charges Operator With Defrauding Bond Investors
June 3rd, 2014
The U.S. Securities and Exchange Commission (SEC) has charged a charter school operator in Chicago with defrauding investors in a $37.5 million bond offering for school construction by making materially misleading statements about transactions that presented a conflict of ...
CySec: acquisition of Administrative Services Providers (ASP) licence
June 3rd, 2014
The Cyprus Securities and Exchange Commission (CySec), the Cypriot financial regulatory authority, has announced that the following firms have successfully obtained the CySec licence to operate as Administrative Services Providers (ASP): Dema Services Limited Tarovision Enterprises Limited Therefore, they ...
All you need to Know about CySec’s Exams 2014 – Analysis by GP GLOBAL LTD
June 3rd, 2014
All you need to Know about CySec’s Exams 2014 – Analysis by GP GLOBAL LTD When will the Cyprus Securities and Exchange Commission (CySEC) Exams 2014 take place? According to a recent press release issued by the Commission, the certification exams ...
Big Four’s China Accountancy Units Thrashing Out SEC Settlement in Auditing Dispute
June 3rd, 2014
The Chinese units at some of the world’s largest accounting firms – dubbed the Big Four – are looking to reach an out-of-court settlement with the US’ Securities and Exchange Commission in a bid to put an end to ...
