Category: Financial Services

CFTC offices
August 14, 2018 BY Valentina Kirilova

CFTC to retain current de minimis level for swap dealer definition

FIA and the FIA Principal Traders Group (together, FIA) have announced that they have urged the Commodity Futures Trading Commission (CFTC) to retain the current $8 billion de minimis threshold for swap dealer registration and to modify the calculation methodology to better align it with the goals of a well-regulated derivatives market. Among the modifications,…

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clone firm FCA warning
August 14, 2018 BY Valentina Kirilova

FCA warns against Ardent Asset Advisors LP clone firm

The UK Financial Conduct Authority (FCA) has put out details of the cloned firm Ardent Asset Advisors LP. Fraudsters are using the details of firms, authorised by the FCA, to try to convince people that they work for a genuine, authorised firm. Fraudsters are using or giving out the following details as part of their…

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First Republic Bank joins S&P 500 index, replaces Scana Corporation
August 14, 2018 BY Valentina Kirilova

Solactive launches Solactive Industry 4.0 Index

Solactive has just announced the launch of the Solactive Industry 4.0 Index, an index tracking the performance of companies that are operating in any of the following segments: Advanced Robotics, Augmented Reality & 3D Printing, Cloud & Big Data, Cyber Security and Internet of Things (IoT) (together the “Index Categories”). From each of the five…

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ASIC
August 14, 2018 BY Valentina Kirilova

ASIC disqualifies NSW SMSF auditor

Australian regulator ASIC has just announced that it has disqualified Keith Mar of NSW from being an approved self-managed superannuation fund (SMSF) auditor for breaching independence requirements. ASIC found that Mr Mar had breached the auditor independence requirements of APES 110 Code of Ethics for Professional Accountants in auditing his own fund, the fund of…

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fma scam alert
August 13, 2018 BY Valentina Kirilova

New Zealand FMA warns against Ju Ying International New Zealand Limited

The Financial Markets Authority (FMA) has just issued a warning against a scam company called Ju Ying International New Zealand Limited. Ju Ying International New Zealand Limited Website: www.pinyi109.com Email: [email protected] Reason for warning: It could be involved in a scam. The financial service provider registration number of FSP886487 displayed on www.pinyi109.com is invalid. It…

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fca warning clone firm
August 10, 2018 BY Valentina Kirilova

FCA warns against Anton Falk Capital Partners clone firm

The UK Financial Conduct Authority (FCA) has put out details of the cloned firm Anton Falk Capital Partners. Fraudsters are using the details of firms, authorised by the FCA, to try to convince people that they work for a genuine, authorised firm. Fraudsters are using or giving out the following details as part of their…

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