Brokerage Author

WFM International

Name: WFM International Address: Thurgauerstrasse 40, Zürich, SWITZERLAND, 8050 Telephone: +41265087226 Mobile: 07311905631, 07477484628, 07538449122, 07361598739, 07378537778 Email: [email protected], [email protected], [email protected], [email protected] Website: wfminternational.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 …

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ASIC consults on misconduct reporting guidance for external administrators and controllers

ASIC has today released a consultation paper on proposed updates to its regulatory guidance for external administrators and controllers when reporting and lodging statutory reports about alleged misconduct. The proposed updates provide greater clarity on ASIC’s expectations of external administrators and controllers’ compliance with the reporting obligations and ASIC’s approach to the reports it receives. …

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ASIC action results in $1.25 million Court imposed penalty against AFSL ‘licensee for hire’ firm

Wholesale licensee Lanterne Fund Services Pty Ltd (Lanterne) has been ordered to pay a $1.25 million penalty by the Federal Court after it failed to comply with six of the general obligations of Australian financial services (AFS) licence holders. In proceedings brought by ASIC, the Court found Lanterne breached its AFS licence obligations between March …

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Federal Court winds up retail OTC derivative issuer Prospero Markets Pty Ltd

The Federal Court has ordered that Prospero Markets Pty Ltd (Prospero) be wound up on just and equitable grounds and that liquidators be appointed following an application by ASIC. ASIC applied for these orders because it holds a broad range of concerns regarding the management of Prospero’s business, including in relation to compliance with its …

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CAPE FX LIMITED

Name: CAPE FX LIMITED Telephone: 07553281139 Email: [email protected] Website: www.capefxlimited.co 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.

Heritage Digital Grant

Name: Heritage Digital Grant Address: Great George Street, London, UNITED KINGDOM, SW1P 3AA Email: [email protected] Website: www.heritagedigitalgrant.net 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 …

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The ESAs launch first recruitments to set up DORA joint oversight team

The European Supervisory Authorities (EBA, EIOPA and ESMA – ESAs) today published three vacancy notices in the context of the Digital Operational Resilience Act (DORA). This announcement comes as part of the establishment of a fully integrated team within the 3 ESAs (joint oversight team) to carry out the oversight of critical third-party providers (CTPPs) …

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New way of paying for investment research proposed by the financial regulator

Analysis by the FCA shows that asset managers are largely getting the research they need under the current rules. However, the current options available to UK asset managers can be operationally complex and may, in some instances, favour larger asset managers. The current rules can also restrict UK asset managers’ ability to buy investment research …

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