The U.S. Securities and Exchange Commission (SEC) has announced that it has filed fraud charges against a second defendant in connection with a scheme to manipulate the price of Fitbit securities through false regulatory filings. According to the SEC's complaint, Mark E. Burns purchased Fitbit call options just minutes before he and his co-conspirator, Robert…
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The Stock Exchange of Thailand (SET) informed that it will list TEAM Consulting Engineering and Management pcl, an integrated consulting service provider for engineering and environmental services, including Environmental Impact Assessment (EIA) report preparation, on July 12, under the ticker symbol "TEAMG". The company has a market capitalization at its initial public offering (IPO) of…
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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 company David Charles Cars. David Charles Cars is not authorised by the FCA but has been targeting people in the UK and is also carrying on regulated…
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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 company Trade WFX. Trade WFX 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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Commonwealth Bank of Australia (CBA) informed that it has entered into a court enforceable undertaking with Australian regulator ASIC in relation to their bank bill trading business and their participation in the setting of the Bank Bill Swap Rate (BBSW), a key benchmark and reference interest rate in the Australian financial system. As part of…
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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 company Coreserv Financial Services. Coreserv Financial Services is not authorised by the FCA but has been targeting people in the UK and is also carrying on regulated…
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TMX Group has announced its financing activity on Toronto Stock Exchange and TSX Venture Exchange for June 2018. TSX welcomed nine new issuers in June 2018, compared with 23 in the previous month and 15 in June 2017. The new listings included three exchange traded funds, two closed end funds, two mining companies, one life…
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Euronext Brussels has today welcomed the fashion group FNG (ticker symbol: FNG) to celebrate their listing on Euronext Brussels, as well as their capital increase. FNG is a Benelux fashion group designing and distributing clothing and shoes for women, children and men through its own concept-stores in Belgium and the Netherlands and through a network…
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The Hong Kong Securities and Futures Commission (SFC) has just announced that it has reprimanded and fined Citigroup Global Markets Asia Limited (CGMAL) $4 million over CGMAL’s regulatory breaches in relation to the operations of its alternative liquidity pool (ALP). The disciplinary action followed an SFC investigation on CGMAL, which found that the operations of…
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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 company Cooper & Sloane Associates. Cooper & Sloane Associates is not authorised by the FCA but has been targeting people in the UK and is also carrying…
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