Samir Vasavada, Co-Founder and CEO of Vise, said: In 2020, we successfully focused on strengthening our foundation, and now in 2021 we are focused on scaling Vise to make it an even more valuable platform for advisors and their clients. In the past year, our assets under management have grown by more than 60x and…
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So far, the agency has awarded over $901 million to a total of 163 individuals since the first award was issued in 2012. Payment of the awards is taken out of an investor protection fund set up by Congress. It is financed through monetary sanctions of security law violations paid to SEC. To be eligible…
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The SEC first filed charges against the owner of 1 Global Capital back in 2018, alongside a number of other relevant individuals, on the grounds that they had been reported to have been trading unregistered securities. Such transactions resulted in the defrauding of well over 3,600 investors. Following the charges, The SEC stated that the…
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Emily Pasquinelli, Acting Chief of the SEC’s Office of the Whistleblower said: Whistleblowers play a critical role in an investigation, whether at the outset or during the course of an investigation. Today’s awards demonstrate that whistleblowers with specific, credible information who significantly contribute to the success of an existing investigation may be eligible for an…
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Sheldon Mills, Executive Director of Consumers and Competition at the FCA, commented: The package of measures we are proposing will enhance our existing rules and is designed to tackle the harms we see in financial services markets, and their causes, as well as put consumers in a stronger position to make good decisions. We want…
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So far, the agency has awarded over $842 million to a total of 157 individuals since the first award was issued in 2012. Payment of the awards is taken out of an investor protection fund set up by Congress. It is financed through monetary sanctions of security law violations paid to SEC. To be eligible…
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So far, the agency has awarded over $838 million to a total of 156 individuals since the first award was issued in 2012. Payment of the awards is taken out of an investor protection fund set up by Congress. It is financed through monetary sanctions of security law violations paid to SEC. To be eligible…
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Xavier Rolet, who left LSE in 2017, stated in his paper that: The UK needs to promptly consider the Spac revolution. Whilst there are significant differences between our markets and those in the US, the appetite for permanent listed capital on the part of ambitious UK and European entrepreneurs and innovators is no less than…
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The Singapore watchdog found that Ahmadnawar solicited investments from 32 individuals from 2015 to 2017. He drew up contracts to manage the money from his investors and foreign exchange on their behalf. MAS noted that he carried out these fund management operations without holding a capital markets services licence. During the same period, Ahmadnawar also…
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Eurex Repo posted a 51.14% MoM rise in GC Pooling, and 14.21% MoM drop in Repo markets. Apr-21 Mar-21 MoM Change Financial derivatives: Traded contracts Eurex Exchange European equity index derivatives (million) 51.2 93.8 -45.42% European interest rate derivatives (million) 40.7 66.1 -38.43% European equity derivatives (million) 27.8 34.7 -19.88% Total (million) 119.7 195.0 -38.62%…
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