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Regulators

ASIC_regulator

ASIC releases report highlighting significant failures in the retail OTC derivatives industry

22/06/2016(0)
ASIC releases report highlighting significant failures in the retail OTC derivatives industry ASIC today released a report detailing the findings of a recent surveillance program and identifying some serious ... Read More
fma

SPG Investment Company Director sentenced today

22/06/2016(0)
SPG Investment Company No. 1 Limited (SPGI) director Mark Andrew Turnock has today been sentenced in the Auckland High Court to four months home detention and 200 hours of ... Read More
cftc-logo

CFTC ordered a $2.4 Million penalty for Illegal Off-Exchange Precious Metals Transactions

21/06/2016(0)
The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Beth Bloom of the U.S. District Court for the Southern District of Florida granted the CFTC’s motion for ... Read More
CySEC

CySec suspends the license of a Cyprus Investment Firm

21/06/2016(0)
The Cyprus Securities and Exchange Commission (CySec), has issued an announcement to inform that the Commission has decided to suspend the licence of a Cyprus Investment Firm. The authorisation ... Read More
FCA-logo

FCA charge five in alleged investment fraud

17/06/2016(0)
Following an investigation by the Financial Conduct Authority Michael Nascimento (DOB: 28/06/1977); Hugh Edwards (DOB: 13/07/1982); Stuart Rea (DOB: 12/02/1968); Ryan Parker (previously known as Ryan Sell DOB 26/11/1992) ... Read More
CySEC

CySec’s first rejection of an Administrative Services Provider authorisation

16/06/2016(0)
The Cyprus Securities and Exchange Commission (CySec) announces that, at the meeting held on 28th March 2016, decided to recall its decision dated 13th July 2015 to grant an authorisation for ... Read More
CySEC

CySec has issued a circular for CIFs regardig their remuneration obligations

16/06/2016(0)
The Cyprus Securities and Exchange Commission (CySec) has issued a circular wishes to remind the Cyprus Investment Firms (CIFs) about their obligations concerning remuneration policies and practices. In particular: ... Read More
sec

Hedge Fund Managers and Former Government Official Charged in $32 Million Insider Trading Scheme

16/06/2016(0)
The Securities and Exchange Commission today announced insider trading charges against two hedge fund managers and their source, a former government official accused of deceptively obtaining confidential information from ... Read More
FCA_regulator

FCA warns for unauthorised firm providing financial services or products in UK

15/06/2016(0)
The Financial Conduct Authority (FCA) has issued warnings to inform investors and public regarding a firm that FCA believes that has been providing financial services or products in the UK ... Read More
Broker Cyprus TopFX