Category: Financial Services

NZX Carbon Fund (CO2)
April 18, 2017 BY Valentina Kirilova

NZX joins UN Sustainable Stock Exchange initiative

The NZX Stock Exchange (NZX:NZE) announced that it has joined the United Nations Sustainable Stock Exchange (SSE) initiative as a partner exchange. The SSE initiative provides a platform for exchanges to discuss environmental, social and corporate governance enhancements and stimulate discussions about sustainable investment. Joining more than 60 global exchanges this partnership reinforces NZX’s ongoing…

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sfc warning
April 18, 2017 BY Valentina Kirilova

Hong Kong SFC adds www.ads-securites.com to its alert list

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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fma warns against unregulated company
April 18, 2017 BY Valentina Kirilova

Italy regulator CONSOB warns against six new companies

The National Commission for Companies and the Stock Exchange (Commissione Nazionale per le Società e la Borsa – CONSOB) just warned that the companies: Blue Seal Limited and Blonde Bear Ou are not authorised to provide investment services and activities in Italy by any means and therefore, including through the websites www.cac400.com and www.mib700.com; Innovate…

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sfc warning
April 18, 2017 BY Valentina Kirilova

Hong Kong SFC adds Armor Asia Limited to its alert list

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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fca clone firm
April 18, 2017 BY Valentina Kirilova

FCA warns against Loans Factor clone firm

The UK Financial Conduct Authority (FCA) has put out details of the cloned firm Loans Factor. 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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April 14, 2017 BY LeapRate Staff

SEC freezes assets of two foreign brokers in Insider Trader sting

The U.S. Securities and Exchange Commission has announced an emergency court order to freeze assets in two brokerage accounts used last week to reap more than $1 million in alleged insider trading profits in connection with a merger announcement by telecommunications companies. According to the SEC’s complaint filed in U.S. District Court for the Southern…

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sfc warning
April 13, 2017 BY Valentina Kirilova

Hong Kong SFC adds Jacob L. Callan to its alert list

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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April 13, 2017 BY Valentina Kirilova

Securities Commission Malaysia allows regulated short selling of corporate bonds to boost bond market liquidity

Securities Commission Malaysia (SC) today brought into effect a new guideline to allow the regulated short selling of corporate bonds in the Malaysian capital market. With the new Guidelines on Regulated Short Selling of Corporate Bonds (Guidelines), Principal Dealers are now permitted to conduct regulated short selling of corporate bonds, expanding the range of bonds…

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sfc warning
April 13, 2017 BY Valentina Kirilova

Hong Kong SFC adds Entrada Capital to its alert list

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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April 13, 2017 BY Valentina Kirilova

FCA warns against Forest Finance clone firm

The UK Financial Conduct Authority (FCA) has put out details of the cloned firm Forest Finance / Forest Finance Team / Forest Finance Services Ltd. 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…

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