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SEC Charges TradeZero America and Co-Founder with Deceiving Customers about Meme Stock Trading Halts
The Securities and Exchange Commission today charged broker-dealer TradeZero America Inc.
Richard R. Best Named Director of Division of Examinations
The Securities and Exchange Commission today announced the appointment of Richard R. Best as Director of the Division of Examinations, effective immediately.
Pension Drawdown Advisory Centre
We believe this firm may be providing financial services...
Publication of financial reports: Federal Office of Justice imposes disciplinary fine on SLEEPZ AG
On 29 March 2022, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 50,000 euros on SLEEPZ AG.
24*7 Cash Line Finance / 247 Cashline Finance / 247 Cashline Loan (Clone of FCA authorised firm)
Fraudsters are using the details of firms we authorise...
MFSA CEO Joseph Gavin Talks About the Future of Financial Services in ‘Ganado Meets Finance’ Podcast
MFSA’s Chief Executive Officer Joseph Gavin talks abou
Circular on Development of Passive Funds
This news item was originally published by the Securities and Exchange Board of India (SEBI IN). See the article here:
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Queensland director disqualified from managing corporations for three years and six months
ASIC has disqualified Benjamin David Coventry Brown of Brisbane,...
Important Technical Notice for Users of the OFAC website on SSL Certificates
The Office of Foreign Assets Control has published this...
Jerome H. Powell sworn in for second term as Chair of the Board of Governors of the Federal Reserve System
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May 23, 2022
Jerome H.
Lael Brainard sworn in as Vice Chair of the Board of Governors of the Federal Reserve System
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Lisa D. Cook sworn in as a member of the Board of Governors of the Federal Reserve System
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May 23, 2022
Lisa D.
Philip N. Jefferson sworn in as a member of the Board of Governors of the Federal Reserve System
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May 23, 2022
Philip N.
Federal Reserve Board announces approval of application by MidWestOne Financial Group, Inc.
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ASIC disqualifies former Victorian director for breaching directors’ duties
ASIC has disqualified James Sackl, of Southbank, Victoria, from...
Warning regarding unregulated entities
The Cyprus Securities and Exchange Commission (‘CySEC’) wishes to...
Adjudication order in respect of Mr Bhanuprasad Dipak Kumar Trivedi in the matter of IPO Investigations
This news item was originally published by the Securities and Exchange Board of India (SEBI IN). See the article here:
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C515 – ESMA Guidelines on methodology, oversight function and record keeping under the Benchmarks Regulation
See the Circular published by the Cyprus Securities and...
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CSA and CCIR Joint Notice and Request for Comment – Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and...
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- +4Proposed Laws/Rules/Regulations/Guidelines/Orders/Technical Standards, Public Consultations, Investment Funds, Transparency and Disclosure Requirements
This news item was originally published by the Ontario Securities Commission (OSC CA). For more information, see the
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Riverdale LLC
- Scams and Fraud
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We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary...
MarginElite / Margin Elite
We believe this firm has been providing financial services or products in the UK without our authorisation. Find out why to be especially wary...
Multi Global Minersfx
- Scams and Fraud
- Unauthorized Firms
- +1Licensing/Registration/Certification/Authorization
We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary...
Proposed Amendments respecting Reporting, Internal Investigation and Client Complaint Requirements
View the PDF from the Investment Industry Regulatory Organization of Canada (IIROC CA) here: Source link
Court orders Pyramid and Ponzi scheme fraudsters to compensate investors
The Court of First Instance has granted orders sought by the Securities and Futures Commission (SFC) against fraudsters of a global Pyramid and Ponzi scheme to compensate victims following legal proceedings under section 213 of the Securities and Futures Ordinance (SFO) (Notes 1 & 2).
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Latest U.S. News
SEC US
SEC Charges TradeZero America and Co-Founder with Deceiving Customers about Meme Stock Trading Halts
The Securities and Exchange Commission today charged broker-dealer TradeZero America Inc.
SEC US
Richard R. Best Named Director of Division of Examinations
The Securities and Exchange Commission today announced the appointment of Richard R. Best as Director of the Division of Examinations, effective immediately.
OFAC US
Important Technical Notice for Users of the OFAC website on SSL Certificates
The Office of Foreign Assets Control has published this technical notice for users of its website and sanctions list data files.
This news item was...
Latest U.K. News
FCA GB
Pension Drawdown Advisory Centre
We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary...
FCA GB
24*7 Cash Line Finance / 247 Cashline Finance / 247 Cashline Loan (Clone of FCA authorised firm)
Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out...
FCA GB
FCA response to Amigo’s scheme being approved by the High Court
The High Court today approved Amigo Loans Limited scheme of arrangement (the scheme) to provide redress to customers who are due it for being...
