KDPW files an authorisation application under CSDR

On 29 September 2017, KDPW - The Central Securities Depository of Poland - has filed an application for authorisation under CSDR* with the Polish...

Exness Upgrades FCA License And Prepares For UK Operations

Exness is pleased to announce that its UK entity, Exness Europe Limited (EEL), has received approval from the FCA to upgrade its permissions to...

SEC Files Charges in $26 Million Stock Manipulation Scheme

The Securities and Exchange Commission today charged two New Jersey-based traders with manipulating more than 2,000 NYSE- and NASDAQ-traded stocks and reaping more than...

SGX, ABS, ISCA, Law Society and SID Jointly Launch Guide on Prevention of Insider...

Singapore Exchange (“SGX”), together with the Association of Banks in Singapore (ABS), the Institute of Singapore Chartered Accountants (ISCA), the Law Society of Singapore...

SFC Bans Philip Leung Ming Yin For Six Months

The Securities and Futures Commission (SFC) has banned Mr Philip Leung Ming Yin, a former account executive of HSBC Broking Securities (Asia) Limited (HSBC...

Broker Charged With Giving Special Access to IPOs for Cash Kickbacks

The Securities and Exchange Commission today charged a Wall Street stockbroker with illegally accepting more than $1 million in undisclosed kickbacks for giving certain...

AMF Warns Agains Four Brokerages Offering FX Trading

The AMF and the ACPR are publishing a list of new websites and entities offering investments on the unregulated foreign exchange (Forex) market in...

Statement on Potentially Unlawful Promotion of Initial Coin Offerings and Other Investments by Celebrities...

Celebrities and others are using social media networks to encourage the public to purchase stocks and other investments.  These endorsements may be unlawful if...

FCA Approves NEX Regulatory Reporting as an APA

NEX Regulatory Reporting, a NEX Group business which provides regulatory reporting services across global regulatory regimes, announces today that Abide Financial has received approval...

CEO Charged With Using Secret Accounts for Insider Trading in Company Stock

The Securities and Exchange Commission today charged the former CEO of a Silicon Valley-based fiber optics company with insider trading in company stock by...

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