The Council of the European Union has found Albania, Costa Rica, Mauritius, Serbia and Switzerland to be complying with all the 'commitments' that they have made to the EU on the subject of tax-related co-operation. It has also removed the United Arab Emirates and the Marshall Islands from its list of non-co-operative jurisdictions for tax purposes.
South Africa's Financial Sector Conduct Authority is warning the public not to do any financial business with Dynamite Investment Group.
The British Financial Conduct Authority’s latest Market Watch publication (number 62) shows that firms are still experiencing difficulties when reporting transactions to it. Despite their regulatory obligation to check the completeness and accuracy of their reports, the FCA is still encountering data of questionable quality as it monitors firms and talks to them.
The UK's Financial Conduct Authority has embarked on court proceedings against Park First Ltd, its CEO and senior managers and other connected companies, over an allegedly illegal collective investment scheme established to operate car park investments using funds from members of the investing public which raised approximately £230 million from 4,500 investors.
The British Financial Conduct Authority’s latest Market Watch publication (number 62) shows that firms are still experiencing difficulties when reporting transactions to it. Despite their regulatory obligation...
Ever since the 1930s, regulators have been obliging investment firms to disclose costs, charges and market data to customers. The idea has been to protect investors from sharp practice and the consequences of th...
TPEL is an electronic and voice inter-dealer market broker which acts for institutional clients only, but an admonition from the UK's regulator against it contains some salutary lessons for exchange-facing priva...
In 2009-13, according to the US Securities and Exchange Commission, Barclays plc's businesses in the Asia Pacific region improperly provided valuable employment to the relatives and friends of government officia...
Hong Kong firms that manage virtual asset funds on behalf of HNW customers are now subject to a new set of rules, issued by the Securities and Futures Commission. ...
The Council of the European Union has found Albania, Costa Rica, Mauritius, Serbia and Switzerland to be complying with all the 'commitments' that they have made to the EU on the subject of tax-related co-operat...
South Africa's Financial Sector Conduct Authority is warning the public not to do any financial business with Dynamite Investment Group. ...
The UK's Financial Conduct Authority has embarked on court proceedings against Park First Ltd, its CEO and senior managers and other connected companies, over an allegedly illegal collective investment scheme es...
Lime FS, based in Sydney, has voluntarily withdrawn two digital advice tools in response to objections raised by the Australian Securities and Investments Commission. ...
TruClarity Wealth Advisors of Tampa in Florida have appointed Catherine Mustico (pictured) as the new chief compliance officer. ...