finance Archives - The Industry Spread

SEC Names Holli Heiles Pandol as Director of the Office of Legislative and Intergovernmental Affairs

June 28, 2019

The Securities and Exchange Commission today announced that Holli Heiles Pandol has been named Director of the agency’s Office of Legislative and Intergovernmental Affairs. Ms. Pandol will advise the Chairman, Commissioners, and SEC staff on legislative matters, provide technical assistance on securities-related legislation to congressional committees and staff, assist in preparing SEC testimony for congressional hearings, and coordinate with other government entities.

GFSC Welcomes New Board Member

May 14, 2019

The Gibraltar Financial Services Commission ( GFSC ) is pleased to announce the appointment, by the Minster for Commerce, of Emilio Gomez to its Board. The designation comes after Emma Perez finished her tenure on the Board, in December 2018. 

Australian Wealth Management Firm AWSM is Facing Regulatory Crisis

May 4, 2019

Australasia Wealth Services and Management Pty Ltd – a fully independent financial service provider from Brisbane, Australia is at odds with multiple regulatory authorities over non-compliance issues. AWSM provides wide array of financial services for both individuals and corporate sector ranging from tax and legal services, mortgage broking, finance and general insurance planning to compliance management,

President Ueli Maurer to Visit China With Finance and Business Delegation and is Invited for State Visit

April 19, 2019

Bern, 16.04.2019 – President Ueli Maurer will pay a visit to China from 22 to 30 April accompanied by a finance and business delegation. Chinese President Xi Jinping has invited Mr Maurer for a state visit on 28 and 29 April. Following a Federal Council decision taken on 10 April, Switzerland and China will sign a Memorandum of Understanding (MoU) on cooperation with third markets under the Belt and Road Initiative during the visit. In the days prior to that Mr Maurer will hold meetings with the Chinese authorities and representatives from the financial and business sectors and attend the second Belt and Road Forum.

FCA Puts the Spotlight on Debt Management Firms

March 20, 2019

The Financial Conduct Authority (FCA) has today published its second thematic review of the debt management firms, looking at commercial and not-for-profit firms that provide debt advice and administer debt management plans to help customers deal with their debts.