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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Cybersecurity, investing by seniors, and other regulatory topics of interest will be discussed when the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) hold their National Compliance Outreach Program for Broker-Dealers on July 27. Registration opened today for the program, which is designed to provide an open forum for regulators and industry…
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The U.S. Securities and Exchange Commission (SEC) staff published a suite of new data and analyses of private fund statistics and trends. The Private Funds Statistics, released quarterly since October 2015 by the Division of Investment Management’s Risk and Examinations Office, offers investors and other market participants valuable insights by aggregating data reported by private…
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The UK Financial Conduct Authority (FCA) has put out details of the cloned firm Markus Spielmann Inc. 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 tactics…
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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 firm BBS Consulting / Best Broker Service. BBS Consulting / Best Broker Service is not authorised by the FCA but has been targeting people in the UK…
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The Securities and Futures Commission (SFC) today published new prescribed forms for disclosure of interests notifications (DI notices) for use when mandatory electronic filing takes effect on 3 July 2017. The SFC reminds substantial shareholders, directors and chief executives of listed corporations that as of that date, DI notices with respect to their interests in…
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The UK Financial Conduct Authority (FCA) has put out details of the cloned firm JW Global. 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 tactics to…
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Jay Clayton was sworn into office by U.S. Supreme Court Justice Anthony M. Kennedy as the 32nd Chairman of the Securities and Exchange Commission It is a tremendous honor to lead the SEC and to be sworn in by Justice Kennedy, whom I greatly admire," said Chairman Clayton. "The work of the SEC is fundamental…
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The FMA noted a recent warning by the Australian Securities and Investment Commission (ASIC) against conducting business with Mrtmarkets. FMA warned that Mrtmarkets are not registered to provide financial services to New Zealanders. FMA has received a complaint about Mrtmarkets, not to mention that several other authorities have already published warnings about Mrtmarkets.com: Autorité des…
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The Board of the Cyprus Securities Exchange Commission (CySEC) informed the public and especially the covered clients of CommexFX Ltd of the following: The Company’s CIF authorisation has been withdrawn as of July 2016. The Company, has not until today, settled its obligations arising from the investment and ancillary services that provided to its client,…
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