Category: Financial Services

ESMA ceases renewal of product intervention CFDs measures
July 24, 2018 BY Valentina Kirilova

ESMA starts renewing its Securities and Markets Stakeholder Group

The European Securities and Markets Authority (ESMA) announced that it has launched the process for renewing its Securities and Markets Stakeholder Group (SMSG) which is made up of representatives from different sectors of the financial markets – market participants, academia, consumers, investors, employees etc. – from across the European Union. The composition of the group…

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bscs warning
July 24, 2018 BY Valentina Kirilova

New Zealand FMA warns against International Securities Exchange of New Zealand

The Financial Markets Authority (FMA) has just issued a warning against a company called International Securities Exchange of New Zealand. International Securities Exchange of New Zealand Website: www.isenz-govt.org Address: 49 York Street, Parnell, Auckland 1052 Phone: +64 9 950 8782 Email: [email protected] Reason for warning: The FMA shared its concern that the “International Securities Exchange…

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Regulation
July 24, 2018 BY Valentina Kirilova

French AMF amends its General Regulation

The French Autorité des Marchés Financiers (AMF) has informed that it amends its General Regulation and publishes an instruction following the entry into force of the new Prospectus Regulation. The national threshold above which a securities offering requires a prospectus has been raised to EUR 8 million. The implementation of this threshold on 21 July…

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July 24, 2018 BY Valentina Kirilova

Mizuho Securities charged with failure to safeguard customer information

The Securities and Exchange Commission (SEC) announced that it has charged Mizuho Securities USA LLC for its failure to safeguard information pertaining to stock buybacks by its issuer customers. Mizuho failed to maintain and enforce policies and procedures aimed at preventing the misuse of material nonpublic information, including maintaining effective information barriers between different trading…

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warning
July 23, 2018 BY Valentina Kirilova

MFSA issues warning against FXenergy

The Malta Financial Services Authority (MFSA) has just informed that it has become aware of an entity calling itself FXenergy and utilizing the website https://www.fxenergytrade.com/#/. FXenergy fraudulently claims to be regulated and licenced by the MFSA under the purported license number 5651919008284 to provide investment services. FXenergy is not a Maltese entity, it is not…

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bscs warning
July 23, 2018 BY Valentina Kirilova

New Zealand FMA warns against Roiteks or Green Oak Limited

The Financial Markets Authority (FMA) has just issued a warning against a company called Roiteks (otherwise known as Green Oak Limited). Roiteks is operating via the website www.roiteks.com and is not registered on the Financial Service Providers Register to provide financial services in New Zealand. The regulator considers that the operations of the entity bear…

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