Search Results for: sec
SEC warns for fraudsters who may attempt to manipulate share prices by using social media
November 6th, 2015
The U.S. Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy (“OIEA”) is issuing this Investor Alert to warn investors about fraudsters who may attempt to manipulate share prices by using social media to spread false or ...
SEC Identifies More Alleged Corrupt Brokers in Stock Manipulation Case
November 5th, 2015
The Securities and Exchange Commission announced it has identified three additional individuals to charge in a penny stock manipulation case the agency filed last year against alleged corrupt brokers and others. The SEC filed a request in federal court ...
CySec issued a Circular regarding National Risk Assessment of Anti Money Laundering and Counter Terrorist Financing Measures
November 4th, 2015
The Cyprus Securities and Exchange Commission (CySec), the financial regulator of Cyprus, has issued a Circular to inform Regulated Entities the following: 1) National Risk Assessment (‘NRA’) In accordance with the international standards set by the Financial Action Task ...
BaFin and the SEC: An international comparison of supervisory practice
November 3rd, 2015
The Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) is often compared to the U.S. Securities and Exchange Commission (SEC) in the media and by the public. The SEC is frequently perceived as the more powerful authority, in ...
SEC Bars Brokers Who Played Favorites to Double Their Commissions
November 2nd, 2015
The Securities and Exchange Commission today barred two brokers at a now-defunct Connecticut brokerage for giving customer order information to certain favored customers, helping those customers get better prices while generating extra commissions for their firm. The SEC also ...
Greece: Recap won’t be enough for credit sector
November 2nd, 2015
The Greek economy will have to grow at satisfactory rates for many years to recoup the severe output loss recorded during the 2008-15 period, and perhaps 2016 too. This is not likely to happen if the private sector is ...
CySec informs regarding the Continuance of Suspension of CIF license of an investment firm
November 2nd, 2015
The Cyprus Securities and Exchange Commission (CySec) has issued today an announcement to inform on its decision in the meeting dated 26 October for Continuance of Suspension of CIF licence of the firm ‘Falcon Brokers Ltd’ with number 128/10. ...
Daiwa Securities acquires approximately 9.6% of GMO CLICK
November 2nd, 2015
Daiwa Securities Group Inc. (“DSGI”) has issued an announcement to inform in relation of the acquisition of shares in GMO CLICK Holdings, Inc. The two companies have executed a memorandum as to Consideration of Business Collaboration . Circumstances and ...
Report on Financial Structures details structural changes in the euro area financial sector
October 30th, 2015
New ECB report covers banks as well as other financial intermediaries Banks, insurance companies and pension funds in largest euro area economies exposed primarily domestically Consolidation and rationalisation in the banking sector continued in 2014, and the median Tier ...
Encap Security forms advisory board with financial services leaders
October 22nd, 2015
Industry experts have been appointed to strengthen future decisions and drive business expansion Encap Security, provider of uncompromising authentication for financial institutions, announced today that it has created an advisory board made up of global experts with a vast ...
