The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, is inviting comments on draft technical standards related to Consolidated Tape Providers (CTPs), other data reporting service providers (DRSPs) and the assessment criteria for the CTP selection procedure under the Markets in Financial Instruments Regulation (MiFIR). In the consultation ESMA is...
Author: EMA Investments
FCA fines CGML £27,766,200 for failures in its trading systems and controls
Failures in the firm’s systems and controls led to US$1.4bn of equities being sold in European markets when they should not have been. On 2 May 2022, a CGML trader had intended to sell a basket of equities to the value of US$58m. The trader made an inputting error while entering the basket in an...
FCA fines HSBC £6.2 million over treatment of customers in financial difficulty
Between June 2017 and October 2018, HSBC failed to properly consider people’s circumstances when they had missed payments. This meant it did not always do the right affordability assessments when entering arrangements with people to reduce or clear their arrears. Sometimes it took disproportionate action when people fell behind with payments, which risked people getting...
ASIC’s priorities in a changing regulatory environment
Check against delivery Good morning everyone – and thanks to Diane and AFIA for the invitation to speak at the 2024 Risk Summit. I would like to begin by acknowledging the Wurundjeri people of the Kulin nation as the traditional owners of the land on which we meet. I pay my respects to their elders,...
ASIC restricts Energy World Corporation Ltd from issuing a reduced-content prospectus
ASIC has restricted Energy World Corporation Limited (EWC) from issuing a reduced-content prospectus for listed entities for the next 12 months. ASIC was satisfied that EWC contravened its financial reporting obligations to comply with accounting standards. EWC has a number of liquefied natural gas projects under construction as well as overseas oil and gas exploration...
ASIC issues DDO stop orders against Trademax Australia
ASIC has made two interim stop orders preventing Trademax Australia Limited from opening trading accounts or dealing in contracts for difference (CFDs) or margin foreign exchange contracts (margin FX) to retail investors. ASIC acted following concerns that Trademax failed to take reasonable steps likely to result in its retail product distribution conduct being consistent with...
DYNAMIC RESORUCES INVESTMENT / DYNAMICRESORUCESINVESTMENT.LTD
Name: DYNAMIC RESORUCES INVESTMENT / DYNAMICRESORUCESINVESTMENT.LTD Address: Bridge Street, Kington, UNITED KINGDOM, HR5 3DJ Email: [email protected] Website: www.dynamicresourcesinvestment.ltd Some firms may give incorrect contact details including postal addresses, telephone numbers and email addresses. They may change these contact details over time. They may also give you details that belong to another business or individual, so...
FXSupreme Trade / Sure FX nation
Name: FXSupreme Trade / Sure FX nation Address: 14 Fitz-James Ave, London Email: [email protected] Website: www.fxsupremetrade.com Some firms may give incorrect contact details including postal addresses, telephone numbers and email addresses. They may change these contact details over time. They may also give you details that belong to another business or individual, so the information...
Tranzactionkapitalltd.co.za
Name: Tranzactionkapitalltd.co.za Some firms may give incorrect contact details including postal addresses, telephone numbers and email addresses. They may change these contact details over time. They may also give you details that belong to another business or individual, so the information looks genuine.
Assets Premium
Name: Assets Premium Address: 22 Tudor Street, London, EC4Y 0AY Telephone: +44208073173 Website: https://assets-premium.com/ Some firms may give incorrect contact details including postal addresses, telephone numbers and email addresses. They may change these contact details over time. They may also give you details that belong to another business or individual, so the information looks genuine.
Civil rights law practice area legal advice is the application of abstract principles of law to the concrete facts of the client’s case.