Search Results for: securities and exchange commission
SEC fined brokerage firm for violated anti-money laundering rules
February 5th, 2016
The Securities and Exchange Commission announced that a Miami-based brokerage firm agreed to pay a $1 million penalty to settle charges that it violated anti-money laundering rules by allowing foreign entities to buy and sell securities without verifying the identities ...
ISE Mercury™ to Launch on February 16, 2016
February 3rd, 2016
SEC approves ISE’s Form 1 Application for Third Options Exchange The International Securities Exchange Holdings, Inc. (ISE Holdings) announced that the Securities and Exchange Commission (SEC) has approved its Form 1 application for ISE Mercury™, ISE Holdings’ third options ...
Barclays, Credit Suisse Charged With Dark Pool Violations
February 1st, 2016
The latest update regarding the charges is that Barclays and Credit Suisse Agree to Dark Pools Settlements Barclays Plc and Credit Suisse Group AG agreed to settle allegations by New York’s top cop and the U.S. Securities and Exchange ...
CySec announced a new CIF license
January 28th, 2016
The Cyprus Securities and Exchange Commission (CySec), the financial regulatory authority of Cyprus, has announced that “AVUS CAPITAL CY LTD“ has successfully obtained the CySec licence for CIF (Cyprus Investment Firms). The firm is now authorised to operate legally under the supervision of ...
CySec announced settlement with a Cyprus Investment Firm for €350.000
January 27th, 2016
The Cyprus Securities and Exchange Commission (CySec) has issued a press release to inform that the Commission has reached a settlement with the CIF Banc De Binary Ltd (“BDB”) for the amount of €350.000. According to the CySec’s announcement ...
CySec announced administrative fine of €156.000 on a Cyprus Investment Firm
January 27th, 2016
The Cyprus Securities and Exchange Commission (CySec) has issued a press release to inform that: The Board of the Cyprus Securities and Exchange Commission (the ‘CySEC’) wishes to inform investors that, at its meeting held on October 12, 2015, decided ...
CySec announced that a Cyprus Investment Firm renounced its CIF licence
January 21st, 2016
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform that on 9th December 2015, the CIF SA&PM (Cyprus) Limited, which provided investment services via the domain www.sapm.com.cy, renounced its authorization pursuant to section 24(1)(b) of the Investment Services ...
SEC: Alternative Fund Manager Overcharged Fees, Misled Investors
January 20th, 2016
The Securities and Exchange Commission today announced that a Denver-based alternative fund manager has agreed to settle charges that the firm overcharged management fees and misled investors about how it valued certain assets. An SEC investigation found that Equinox ...
KPMG withdraws audit opinions on CFTC over accounting error
January 20th, 2016
The U.S. regulator that polices the complex derivatives markets is struggling to keep its own books in order and has made a material error that its auditor found so significant that it withdrew nearly a decade of its financial ...
CySec announces acquisition of CIF licence for Investment Services
January 20th, 2016
The Cyprus Securities and Exchange Commission (CySec), the financial regulatory authority of Cyprus, has announced that “Daweda Exchange Ltd“ has successfully obtained the CySec licence for CIF (Cyprus Investment Firms). The firm is now authorised to operate legally under the supervision of CySec ...
