Category: Financial Services

hkex
November 25, 2019 BY Valentina Kirilova

Liberty Securities teams up with Broadridge to simplify post-trade processing for Hong Kong equities

Fintech company Broadridge Financial Solutions, Inc. (NYSE:BR) has just announced that it has been selected by Liberty Securities Limited to streamline its post-trade processing for Hong Kong-listed equities and derivatives. Liberty Securities is licensed by the Hong Kong SFC and is a participant of the Stock Exchange of Hong Kong. The company provides brokerage services…

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fca warning
November 22, 2019 BY Valentina Kirilova

UK FCA warns against InteliSure company

The UK Financial Conduct Authority (FCA) has put out details of another unregulated firm yesterday. The name of the latest addition to the regulator’s warning list is the company InteliSure. According to the regulator, this firm is not authorised by the FCA and is targeting people in the UK. Based upon information the regulator holds,…

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CySEC
November 22, 2019 BY Valentina Kirilova

CySEC withdraws AMFF Ltd’s CIF licence

The Cyprus regulator CySEC has announced that it has decided to withdraw the CIF licence of a company named AMFF Ltd. The Cyprus Securities and Exchange Commission announces that, on its meeting of 8th November 2019, has decided, pursuant to section 8(1)(a) of the Investment Services and Activities and Regulated Markets Law of 2017 and…

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DFSA
November 21, 2019 BY Valentina Kirilova

UK FCA fines Henderson Investment Funds Limited £1,867,900

UK Financial Conduct Authority (FCA) has announced yesterday that it has fined Henderson Investment Funds Limited (HIFL) £1,867,900. The company failed to treat fairly more than 4,500 retail investors in two of its funds: Henderson Japan Enhanced Equity Fund and Henderson North American Enhanced Equity Fund (the Japan and North American Funds). Back in 2011,…

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clsnet
November 20, 2019 BY Valentina Kirilova

MOEX signs MoU with China Foreign Exchange Trade System

Moscow Exchange (MOEX) has announced yesterday that it has signed a Memorandum of Understanding (MoU) with the China Foreign Exchange Trade System (CFETS). The MoU aims to unify the liquidity pools for trading in the RMB/RUB currency pair on the two platforms. A joint working group has already been set up to conduct research and…

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fca clone firm
November 19, 2019 BY Valentina Kirilova

UK FCA warns against Credit Suisse Securities clone firm

The UK Financial Conduct Authority (FCA) has put out details of another clone firm this week. The latest addition to the regulator’s warning list is Credit Suisse Securities. Fraudsters are using or giving out the following details as part of their tactics to scam people in the UK: Credit Suisse Securities (Clone of FCA authorised…

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November 18, 2019 BY Valentina Kirilova

TraderEvolution teams up with Gold-i to deliver an end-to-end trading solution

FinTech provider of multi-market trading software, TraderEvolution Global has announced earlier today that it has teamed up with FinTech company Gold-i to provide a full end-to end trading solution serving banks, prime brokers and brokerages worldwide. Clients worldwide will now be able to access TraderEvolution’s advanced multi-market and multi-asset trading platform and Gold-i’s multi-asset liquidity…

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CySEC
November 15, 2019 BY Valentina Kirilova

CySEC withdraws Fidelisco Capital Markets Ltd’s CIF licence

The Cyprus regulator CySEC has announced that it has decided to withdraw the CIF licence of a company named Fidelisco Capital Markets Ltd. The regulator shared that, at its meeting of 8th November 2019, has decided, pursuant to section 8(1)(a) of the Investment Services and Activities and Regulated Markets Law of 2017 and section 4(7)…

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fca warning
November 15, 2019 BY Valentina Kirilova

UK FCA warns against several unauthorised companies

The UK Financial Conduct Authority (FCA) has put out details of several unregulated firms. The names of the latest additions to the regulator’s warning list are JP Morgan Asset Management and Switch Finance. According to the regulator, the fraudsters are using or giving out the following details as part of their tactics to scam people…

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