sfc warning
February 10, 2017 BY Valentina Kirilova

Hong Kong SFC adds Seres Bio to its alert list

Hong Kong’s financial regulator the Securities and Futures Commission (SFC) has updated its Alert List, which features the names of businesses that are unlicensed in Hong Kong and are believed to be, or to have been, targeting Hong Kong investors or claim to have an association with Hong Kong. Added to the SFC Alert List…

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February 10, 2017 BY Valentina Kirilova

FCA warns on STP Markets firm

UK financial regulator Financial Conduct Authority (FCA) has issued its latest warning against an unregulated financial services provider targeting UK consumers. The FCA’s latest warning is against the firm STP Markets. STP Markets is not authorised by the FCA but has been targeting people in the UK and is also carrying on regulated activities which…

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February 10, 2017 BY Valentina Kirilova

ASIC bans financial adviser for five years

ASIC has banned financial adviser, Mr Darren Tindall, of Orange, NSW, from providing financial services for five years after an investigation found he failed to comply with financial services laws. Mr Tindall was an authorised representative of Roan Financial Group Pty Ltd between 9 May 2013 and 19 May 2014, and was based in Orange,…

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SFC fines
February 09, 2017 BY Valentina Kirilova

CFTC orders Oden Capital Management, LLC to pay a $100,000 penalty

The U.S. Commodity Futures Trading Commission (CFTC) entered an Order filing and settling charges against Dallas, Texas-based Commodity Pool Operators (CPOs) John B. Oden and Oden Capital Management, LLC (OCM) for unlawfully operating two commodity interest pools, Oden Currency Fund, LP (OCF), operated by Oden, and Oden Currency Fund I, LP (OCF I), operated by…

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ig australia
February 09, 2017 BY Valentina Kirilova

IG launches Snap IPO Grey Market

Online trading industry leading broker IG Group Holdings plc (LON:IGG) today launches a grey market for the Snap IPO. IG offers grey markets in advance of the listings of companies on stock markets in the UK, Europe and the US. It allows traders to speculate on the direction of a share price or market value of…

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February 09, 2017 BY Valentina Kirilova

Bats reports Q4 net income growth of 50%

Sets Record for Full Year 2016 Net Revenue of $436 Million Bats Global Markets, Inc. (Bats: BATS) just reported net income of $32.5 million and adjusted earnings of $38.5 million for the fourth quarter ended December 31, 2016. Net income increased 50% and adjusted earnings rose 35% compared to the same period in 2015 driven primarily…

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