Category: Financial Services

ESMA bond liquidity data
April 10, 2017 BY Valentina Kirilova

ESMA reports on EU accounting enforcement in 2016

The European Securities and Markets Authority (ESMA) has published its annual report on the enforcement and regulatory activities of accounting enforcers within the European Union (EU) in 2016. ESMA, in 2016, continued strengthening supervisory convergence in the area of financial reporting, to improve the consistency and quality across the EU. ESMA achieves this through coordinating…

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SGX announces trading volumes
April 10, 2017 BY Valentina Kirilova

SGX welcomes UnUsUaL Limited to Catalist

Singapore Exchange (SGX) just announced that welcomed UnUsUaL Limited to Catalist under the stock code 1D1. UnUsUaL Limited is a subsidiary of Catalist-listed mm2 Asia. With a history and track record of 20 years, UnUsUaL Limited specialises in the production and promotion of large-scale live events and concerts by international artistes in Singapore and the…

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sfc warning
April 10, 2017 BY Valentina Kirilova

Hong Kong SFC adds Pearson Investments 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 10, 2017 BY Valentina Kirilova

FCA and PRA commence investigations into Jes Staley and Barclays

Barclays PLC and Barclays Bank PLC (LON:BARC) just announced that the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have commenced investigations into: Jes Staley, Group Chief Executive Officer of Barclays, as to his individual conduct and senior manager responsibilities relating to Barclays whistleblowing programme and an attempt by Mr Staley in 2016 to…

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fma warns against unregulated company
April 10, 2017 BY Valentina Kirilova

Italy regulator CONSOB warns against Binary Option Robot

The National Commission for Companies and the Stock Exchange (Commissione Nazionale per le Società e la Borsa – CONSOB) just warned against the company Binary Option Robot. Binary Option Robot is not authorised in Italy to use cold calling, i.e. to promote or set up by means of any method, via distance communication, investment services or…

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SFC fines
April 10, 2017 BY Valentina Kirilova

ASIC fines former Chairman of AWB Limited $50,000

Australia regulator ASIC announced that the Supreme Court of Victoria has ordered that Trevor Flugge, the former chairman of AWB Limited, pay a pecuniary penalty of $50,000 and be disqualified from managing corporations for a period of five years following the Court's finding that he contravened s180(1) of the Corporations Act. The orders follow the…

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