CySec has issued today a report to inform regarding the results of its evaluation of 413 regulated entities (CIFs, ASPs, MC UCITS, AIFMs, AIFLNP) for possible relation with Mossack ... Read More
The Financial Industry Regulatory Authority (FINRA) announced that it has censured and fined E*Trade Securities LLC $900,000 for failing to conduct an adequate review of the quality of execution ... Read More
CySec has issued announcements to inform regarding the approval of two firms as Administrative Services Providers (ASP). According the announcements, the below firms have been approved: 1) Scivias Trust ... Read More
The European Securities and Markets Authority (ESMA) has published today an updated version of its question and answer document (Q&A) on the application of the Markets in Financial Instruments Directive (MiFID) ... Read More
The Securities and Exchange Commission today charged a Wall Street-based brokerage firm with failing to sufficiently evaluate or monitor customers’ trading for suspicious activity as required under the federal ... Read More
The Securities and Exchange Commission today announced that a California-based mortgage company and six senior executives agreed to pay $12.7 million to settle charges that they orchestrated a scheme ... Read More
ASIC has cancelled the Australian financial services (AFS) licence of TMK Index Limited (AFS Licence No 314823) for failing to comply with a number of key obligations, including requirements ... Read More
The French Prudential Supervision and Resolution Authority (ACPR) and the Autorite des marches financiers (AMF) warn the public against the activities of several websites and entities proposing Forex investments ... Read More
The Commissione Nazionale per le Società e la Borsa(CONSOB), the regulatory authority of Italy, has issued an announcement to inform public and investors for firms not authorised to provide ... Read More
CNMV warns for unauthorised: tradingforex The regulatory body of the Spanish Stock Market, Comision Nacional del Mercado de Valores (CNMV), has issued a warning to inform investors and public ... Read More
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