Search Results for: securities and exchange commission
EU regulation concerning restrictive measures in view of Russia’s actions
August 4th, 2014
The Cyprus Securities and Exchange Commission (CySec) informs the Cyprus Investment Firms, Management Companies, Administrative Services Companies and Regulated Markets (‘the Regulated Entities) about the publication in the Official Journal of the European Union, on July 31, 2014, of ...
SEC Seeks $1.41 Billion from Wyly Brothers For Fraud
August 4th, 2014
The Securities and Exchange Commission is seeking damages totaling $1.41 billion from Texas tycoon Sam Wyly and the estate of his late brother Charles for their role in a plan to conceal trades in companies they controlled by using ...
CySec: Certifying Examinations application is now accepted
August 1st, 2014
The Cyprus Securities and Exchange Commission (CySEC) has announced that applications are now being accepted for the examinations leading to registration in the Public Register of Certified Persons employed by Cyprus Investment Firms, Credit Institutions, Management Companies and Investment ...
ICE Benchmark Administration Launches Error Policy Market Consultation
August 1st, 2014
Intercontinental Exchange (NYSE: ICE), the leading global network of exchanges and clearing houses, announced that ICE Benchmark Administration (IBA) is today launching a paper for consultation on a policy to provide transparency in the event that an error is ...
CySec: acquisition of Administrative Services Providers (ASP) licence
August 1st, 2014
The Cyprus Securities and Exchange Commission (CySec), the Cypriot financial regulatory authority, has announced that “Company Express (Cyprus) Ltd” has successfully obtained the CySec licence to operate as Administrative Services Provider (ASP). The company is now authorised to operate ...
SEC Enforcement Division Modifies Municipalities Disclosure Initiative
August 1st, 2014
The Securities and Exchange Commission has announced modifications to its Enforcement Division’s Municipalities Continuing Disclosure Cooperation (MCDC) Initiative that will provide greater opportunity for smaller municipal securities underwriter firms and municipal issuers to take advantage of the initiative. To ...
CySec: acquisition of Administrative Services Providers (ASP) licence
July 31st, 2014
The Cyprus Securities and Exchange Commission (CySec), the Cypriot financial regulatory authority, has announced that “Asoted Services Limited” has successfully obtained the CySec licence to operate as Administrative Services Provider (ASP). The company is now authorised to operate legally ...
U.S Regulators may change rules for upstart trading
July 30th, 2014
U.S regulators may relax rules that require the fastest possible execution of securities trades, potentially helping upstart trading venue IEX Group’s plans to become a full-fledged stock exchange. IEX, described in author Michael Lewis’ book “Flash Boys: A Wall ...
UBS, Deutsche Bank questioned by U.S. regulators on trading operations
July 29th, 2014
Germany’s Deutsche Bank (DBKGn.DE) and Switzerland’s UBS (UBSN.VX) were investigated by U.S. regulators, who are searching to find whether broker-run stock exchanges gave an unfair advantage to high-frequency traders. The investment banks, which said on Tuesday that they were ...
CySec: acquisition of CIF (Cyprus Investment Firms) licence
July 28th, 2014
The Cyprus Securities and Exchange Commission (CySec) the Cypriot financial regulatory authority, has announced that “P.M. Investment Capital Limited ” has successfully obtained the CySec license for CIF (Cyprus Investment Firms). The firm is now authorised to operate legally under ...
