Category: Financial Services

FCA warning
July 20, 2020 BY Steffy Bogdanova

Invest Connect, Credit Suisse AG and others added to FCA warning list

Invest Connect Address: 25 Old Broad Street, London, EC2N1HN Telephone: 0203 301 0482 Email: [email protected] , [email protected] Website: https://invest-connect.co.uk/ Renewable Bonds Address: 5a Irving St, Leicester Square, Charing Cross, London WC2H 7AT Telephone: 020 874 9956 Email: [email protected] Website: https://renewable-bonds.net/compare/?gclid=EAIaIQobChMIpsubpfjs5wIVlp3VCh1fyAYBEAAYASAAEgJDmfD_BwE UK Bond St Address: 95 Queen Victoria St, London, EC4V 4HN, UK Website: www.ukbondst.com Danbrook…

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Toronto Stock Exchange adds cloud-based software provider Dye & Durham
July 20, 2020 BY Steffy Bogdanova

Toronto Stock Exchange adds cloud-based software provider Dye & Durham

McKenzie  continues: TMX remains committed to enabling the long-term success of these visionary growth companies and to providing investors with opportunities to participate in their success. Dye & Durham has reached 350 employees in its Canada and UK offices and serves blue chip customers including Canadian legal firms, financial institutions and government organizations.

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Whistleblower
July 15, 2020 BY Steffy Bogdanova

Whistleblower receives almost $4 million award from SEC

So far, the agency has awarded over $505 million to 87 individuals for their help 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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CFTC penalty
July 15, 2020 BY Steffy Bogdanova

Plutus Financial and Plutus Technologies Philippines fined $150K for illegal off-exchange trading

CFTC Director of Enforcement James McDonald said: This case underscores, once again, that the Commission will continue working with our regulatory partners to ensure the integrity of our markets, including those involving digital assets. Rooting out misconduct is essential to furthering the responsible development of these innovative financial products. The CFTC found that between December…

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