Category: Financial Services

July 13, 2017 BY Valentina Kirilova

NEPI Rockcastle lists on Euronext Amsterdam

NEPI Rockcastle (ticker symbol: NRP), one of the largest real estate companies in Continental Europe, began trading today on Euronext Amsterdam. At opening, based on a reference price of € 11.33 per share, the total market capitalisation of NEPI Rockcastle was approximately € 6.1 billion. NEPI Rockcastle is the company created through the merger of…

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DFSA
July 13, 2017 BY Valentina Kirilova

Nasdaq Stockholm fines CybAero corresponding to three annual fees

The Disciplinary Committee of Nasdaq Stockholm announced that has found that CybAero AB has breached the Nasdaq First North Rule Book (“the Rule Book”) in several respects and, accordingly, has imposed a fine on CybAero amounting to three annual fees, corresponding to an amount of SEK 341,890. The Disciplinary Committee has determined that CybAero did…

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clone firm FCA warning
July 13, 2017 BY Valentina Kirilova

FCA warns against Alpha Consulting clone firm

The UK Financial Conduct Authority (FCA) has put out details of the cloned firm Alpha Consulting. 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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scam company
July 13, 2017 BY Valentina Kirilova

SEC announces charges in telemarketing boiler room scheme

The Securities and Exchange Commission (SEC) announced that has brought fraud charges against 13 individuals allegedly involved in two Long Island-based cold calling scams that bilked more than one hundred victims out of more than $10 million through high-pressure sales tactics and lies about penny stocks. The SEC alleges that the orchestrators of the scheme…

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Securities and Exchange Commission proposes Transaction Fee Pilot for NMS Stocks
July 13, 2017 BY Valentina Kirilova

SEC charges research scientist for insider trading

The Securities and Exchange Commission (SEC) announced insider trading charges against a research scientist who allegedly searched the internet for “how sec detect unusual trade” before making a trade that the agency flagged as suspicious through data analysis. The SEC’s complaint alleges that Fei Yan loaded up on stocks and options in advance of two…

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clone firm FCA warning
July 13, 2017 BY Valentina Kirilova

FCA warns against Lending Stream clone firm

The UK Financial Conduct Authority (FCA) has put out details of the cloned firm Lending Stream. 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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July 12, 2017 BY Valentina Kirilova

Bats welcomes second Principal fund to the Bats ETF Marketplace

Bats, a CBOE Holdings, Inc. (NASDAQ:CBOE) company announced that has today welcomed a second Principal fund to the Bats ETF Marketplace. The Principal Spectrum Preferred Securities Active ETF (Bats: PREF) seeks to invest at least 80% of its net assets, plus any borrowings for investment purposes, in preferred securities at the time of purchase, normal…

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