So far, the agency has awarded over $430 million to 80 individuals for their help since the first award was issued in 2012. Payment of the awards is taken out of an investor protection fund set up by Congress. It is financed through monetary sanctions of security law violations paid to SEC. To be eligible…
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London Stock Exchange’s integration planning for Refinitiv transaction is also going well. CFIUS received approval and anti-trust filings were prepared in multiple jurisdictions, the commitment to achieving completion in H2 2020 still remains. The company’s revenue reached £215 million, up by 7% with 8% growth at FTSE Russell. The company observed good growth in both…
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The SFC found that third party deposits from 2009, 2011 and 2015, made in cheques and bank transfers, were not identified until 2016. The Commission also found extensive deficiencies in its review of BISL’s margin lending and margin call policy from December 2012 to November 2016. The company failed to document and enforce a clear…
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MAX will use its digital assets network and its industry team’s experience in financial markets infrastructure business and operations. Amon the names of the people whose expertise will be leveraged are: Hirander Misra, Deputy Chairman, and Scott Riley, Chief Post Trade Officer, who were previously co-founders of Chi-X Europe and Tony Harrop, Director of Technology,…
Read moreC. Dabney O’Riordan, Co-Chief of the Asset Management Unit said: This incredibly successful initiative led to the return of almost $140 million to harmed investors, stopped wrongful conduct, and highlighted the importance of an adviser’s obligations to provide full and fair disclosures to clients. We continue to actively pursue disclosure failures that financially benefit the…
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Steven Maijoor, ESMA Chair, commented: The finalisation of the MoU with MAS is an important step towards the completion of the EU’s third country regime for benchmarks. Regulators around the world are committed to the accuracy and reliability of key global benchmarks and this MoU will facilitate the achievement of these objectives. Ong Chong Tee,…
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So far, the agency has awarded over $425 million to 79 individuals for their help since the first award was issued in 2012. Payment of the awards is taken out of an investor protection fund set up by Congress. It is financed through monetary sanctions of security law violations paid to SEC. To be eligible…
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The website claims that the company operates from the UK. However, The Financial Conduct Authority (FCA) in the United Kingdom states that MetalsWise is not registered there. Currently, the company is advertising on New Zealand radio. MetalsWise is not registered or licensed to offer financial services in the country. Read More: New Zealand FMA adds…
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NICE Actimize KYC Xpress solution is powered by the cloud and provides organizations with the ability to perform searches across a comprehensive variety of global data sources, returning the needed information quickly. The automated solution of NICE Actimize organizes the aggregation of data from global sanctions, PEP, adverse media, corporate ownership, enforcement lists and I…
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British Bonds Address: 57 Stamford Street, Bishop’s, London, SE1 9NN Telephone: 0203 769 3879 Website: www.british-bonds.co.uk Claims Assistance UK Telephone: 02039361978; 02837180035 Email: [email protected] Best Rate ISA’s Address: 25 Old Broad Street, London, EC2N 1HQ Telephone: 020 8769674 Website: Best-rate-isas.com Email: [email protected] CoinBits Address: Suite 305, Griffin Corporate Centre, Beachmont, P.O Box 1510, Kingstown Sant…
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