Search Results for: securities and exchange commission
CySec gives CIF authorisation
June 2nd, 2014
The Cyprus Securities and Exchange Commission (CySec), has announced in a press release that, during its meetings between January – May 2014, decided, pursuant to sections 6(6) and 22 of the Investment Services and Activities and Regulated Markets Law ...
CySec presents the new framework for certifications of persons
May 30th, 2014
The Cyprus Securities and Exchange Commission (CySec) has issued the following press release: More efficient and more productive the new framework for the certification of persons: Introducing the new framework for certifications and conduct of examinations by the Cyprus Securities and ...
SEC Obtains Asset Freeze to Halt Fraud at Illinois-Based Transfer Agent
May 29th, 2014
The Securities and Exchange Commission announced fraud charges and an emergency asset freeze against an Illinois-based transfer agent and its owner whose misappropriation scheme was exposed during an SEC examination of the firm. Transfer agents are typically used by ...
SAC Prosecutor Tells SEC Cohen’s Case Should Be Delayed
May 29th, 2014
An administrative proceeding filed against SAC Capital Advisors LP founder Steven A. Cohen by the Securities and Exchange Commission should be put on hold because prosecutions of his former employees aren’t fully resolved, the government told an agency judge. ...
CySec: acquisition of CIF (Cyprus Investment Firms) licence
May 29th, 2014
The Cyprus Securities and Exchange Commission (CySec) the Cypriot financial regulatory authority, has announced that “Boursotrade Ltd” has successfully obtained the CySec license for CIF (Cyprus Investment Firms). The firm is now authorised to operate legally under the supervision of ...
CySec fines Sheltons Services Ltd
May 28th, 2014
Announcement from CySec The Cyprus Securities and Exchange Commission (‘CySEC’) wishes to inform all interested parties that: 1. On March 27, 2014 CySEC decided to impose a €5.000 fine to Sheltons Services Ltd (the Company) as it provided administrative services ...
CySec imposes administrative fine €10.000 to Banc De Binary Ltd
May 26th, 2014
The Cyprus Securities and Exchange Commission informs the investors that, at its meeting held on 7.4.2014 , decided to impose the administrative fine of €10.000 in total against CIF “Banc De Binary Ltd” (‘the Company’) for breaching the Article 139 (2) of ...
CySec imposes administrative fine of €14.000
May 26th, 2014
CySec announcement dated 26 May 2014 The Cyprus Securities and Exchange Commission informs the investors that, at its meeting held on 10.02.2014 , decided to impose the administrative fine of €14.000 in total against “DFG Capital (Cyprus) Ltd” (‘the Company’) for breaching ...
CySec: acquisition of Administrative Services Providers (ASP) licence
May 26th, 2014
The Cyprus Securities and Exchange Commission (CySec), the Cypriot financial regulatory authority, has announced that “Halman Consultans (Overseas) Limited” successfully obtained the CySec licence to operate as Administrative Services Provider (ASP): Therefore, the firm is now authorised to operate legally ...
EU Market Rules, Logitech Probe, Finra Fines: Compliance
May 23rd, 2014
Europe’s capital markets are getting a new foundation. The 28-nation European Union’s top markets regulator yesterday made public more than 800 pages of proposed rules that cover everything from high-frequency trading curbs to transparency requirements for bond markets and ...
