Advertise With Us
Sign up for our Newsletter
Join Our Directory
Open an Account

Regulators

penalty image

Former managing director of Deutsche Bank Securities Inc. charged for fraud

12/11/2018(0)
The Commodity Futures Trading Commission (CFTC) announced today that it filed and settled charges against Jacob Bourne, a former managing director of Deutsche Bank Securities Inc., for fraudulently mismarking ... Read More
fined

Citibank agreed to pay millions to settle charges

08/11/2018(0)
The Securities and Exchange Commission (SEC) announced that Citibank N.A. has agreed to pay $38.7 million to settle charges of improper handling of “pre-released” American Depositary Receipts (ADRs). ADRs ... Read More
penalty image

Individuals fined and banned from performing any role in regulated financial services

07/11/2018(0)
The Financial Conduct Authority (FCA), the conduct regulator for financial services firms and financial markets in the UK, has issued a press release to inform that The Upper Tribunal ... Read More
fined

Swap dealer ordered to pay a $900,000 fine

06/11/2018(0)
National Futures Association (NFA), a self-regulatory organization for the U.S. derivatives industry, has issued a press release to inform that has decided to order New York, NY swap dealer ... Read More
CySEC logo

CySEC announced withdrawal of Cyprus Investment Firm license

01/11/2018(0)
The Cyprus Securities and Exchange Commission (CySEC) has issued today an announcement to inform investors for the withdrawal of the authorisation of a Cyprus Investment Form.  In accordance the ... Read More
FCA_regulator

FCA UK data shows record level of 4.13 million complaints for regulated firms

01/11/2018(0)
The Financial Conduct Authority (FCA) has published the complaints figures for regulated firms for the first half of 2018. Complaints continued to increase for the fourth successive half year, ... Read More
FCA_regulator

FCA published UK’s policy and regulatory approach to cryptoassets

30/10/2018(0)
The Financial Conduct Authority (FCA) has, as part of a Treasury (HMT) led Cryptoasset Taskforce published a report on the UK’s policy and regulatory approach to cryptoassets. The Taskforce ... Read More
onestopbrokers-Regulators

Beware of unauthorised companies offering financial services

26/10/2018(0)
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Ireland (Central Bank of Ireland), Austria (Financial Market Authority – FMA) and Italy (Consob) report the companies ... Read More
CySEC logo

CySEC imposed 10.000 euro fine to an individual

22/10/2018(0)
The Board of the Cyprus Securities and Exchange Commission (‘CySEC’) has issued an announcement to inform the public that, at its meeting held on 3rd September 2018, decided to impose ... Read More
onestopbrokers-Regulators

Alert: Beware of unauthorised companies providing investment services

18/10/2018(0)
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Austria (Financial Market Authority – FMA), Switzerland (Swiss Financial Market Supervisory Authority – FINMA), Quebec (Autorité des ... Read More
Broker Cyprus TopFX