The National Commission for Companies and the Stock Exchange (Commissione Nazionale per le Società e la Borsa – CONSOB) just reported that the company Godhand Edge Fund Management Llc is not authorised to provide investment services or activities in Italy in any way. The Commissione Nazionale per le Società e la Borsa (CONSOB) is the…
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The Securities and Futures Commission (SFC) has banned Mr Philip Leung Ming Yin, a former account executive of HSBC Broking Securities (Asia) Limited (HSBC Securities), from re-entering the industry for six months from 17 March 2017 to 16 September 2017. The SFC found that Leung used his mobile phone and messaging application WeChat to receive…
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Hong Kong Exchanges and Clearing Limited (HKEX) just announced that is offering new Stock Connect shareholding information on the HKEXnews website. Investors are now able to view on the HKEXnews website a full list of the combined shareholdings of Hong Kong and international investors in individual A shares through Stock Connect and similarly, a full…
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Mr Angus Matthew Holt, of Sunshine Beach, Queensland, has been convicted and fined in the Maroochydore Magistrates Court for failing to lodge notices regarding his share trading during the period 13 January 2015 to 3 July 2015. Mr Holt was a director and executive chairman of Optiscan Imaging Limited between February 2009 and July 2015.…
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Australia and New Zealand Banking Group (ASX:ANZ) today commented on the release of the Australian Securities & Investments Commission’s (ASIC) review into how large institutions oversee financial advisers. ANZ Group Executive Wealth Australia Alexis George said: We know we need to work harder to maintain the trust of our customers and we will continue to…
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ASIC has commenced proceedings in the Federal Court of Australia against Wealth and Risk Management Pty Ltd (WRM), and related companies Yes FP Pty Ltd (Yes FP) and Jeca Pty Ltd (trading as Yes FS) (Yes FS), in relation to various alleged breaches of the Corporations Act 2001 and the Australian Securities and Investments Commission…
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Hong Kong’s financial regulator the Securities and Futures Commission (SFC) has updated its Alert List, which features the names of businesses that are unlicensed in Hong Kong and are believed to be, or to have been, targeting Hong Kong investors or claim to have an association with Hong Kong. Added to the SFC Alert List…
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The securities regulatory authorities in Ontario, Alberta, and Saskatchewan (the participating jurisdictions) released CSA Multilateral Staff Notice 51-349 Report on the Review of Investment Entities and Guide for Disclosure Improvements, which summarizes key findings from an Ontario Securities Commission (OSC) staff review of the continuous disclosure of reporting issuers that meet the definition of an…
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Hong Kong’s financial regulator the Securities and Futures Commission (SFC) has updated its Alert List, which features the names of businesses that are unlicensed in Hong Kong and are believed to be, or to have been, targeting Hong Kong investors or claim to have an association with Hong Kong. Added to the SFC Alert List…
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Moscow Exchange announced that has made an update to its indices. The coefficients for Moscow Exchange indices come into force from March 17, 2017 and can be see in the table below: № Index Code Currency Index Name Divisor 1 MICEXINDEXCF RUB MICEX Index 4,782,605,957.6012 2 RTSI USD RTS Index 151,818,269.5514 3 RTSSTD RUB MICEX Blue…
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