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Regulators

finma

FINMA condenses and modernises corporate governance requirements for banks

02/03/2016(0)
The Swiss Financial Market Supervisory Authority FINMA is consolidating its corporate governance, internal control system and risk management supervisory requirements for the banking sector. This consolidation will take the ... Read More
fca-building

FCA launches ‘Live & Local’: a new regional programme to help local firms engage with regulators

02/03/2016(0)
The Financial Conduct Authority (FCA) has launched ‘Live & Local’, a regional programme which will include a series of events, workshops and roundtables, taking place across 12 regions in ... Read More
EU-Commission

Commission launches consultation on Transparency Register, inviting stakeholder views on a future mandatory system for all EU institutions

02/03/2016(0)
The European Commission is launching a public consultation on the Transparency Register to gather stakeholder views on a future mandatory system for all EU institutions. On 1 March, the ... Read More
nfa log

NFA bars Streamwood, Ill. introducing broker Portfolio Managers Inc. from membership

01/03/2016(0)
National Futures Association (NFA) has permanently barred Portfolio Managers, Inc. (PMI), an NFA Member introducing broker located in Streamwood, Ill., and PMI’s LA branch office associated persons (AP) Christopher M. Hogan andThomas ... Read More
Reserve-Bank-of-Australia-Logo-RBA

RBA:Monetary Policy Decision-Rate unchanged

01/03/2016(0)
At its meeting today, the Board decided to leave the cash rate unchanged at 2.0 per cent. Recent information suggests that the global economy is continuing to grow, though ... Read More
bank-of-england

PRA and FCA statement on compliance with the EBA guidelines on Sound Remuneration Policies

01/03/2016(0)
The Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) have notified the European Banking Authority (EBA) that the regulators will comply with all aspects of the EBA Guidelines ... Read More
SFC-logo-office

SFC reprimands and fines Yuanta Securities (Hong Kong) Company Limited $4 million

29/02/2016(0)
The Securities and Futures Commission (SFC) has reprimanded and fined Yuanta Securities (Hong Kong) Company Limited (Yuanta Securities) $4 million for failing to disclose the actual execution price and ... Read More
Canadian-Values-A-Silent-Revolution

Canadian securities regulators adopt amendments to early warning system

29/02/2016(0)
The Canadian Securities Administrators (CSA) announced today the publication of final amendments that are designed to provide greater transparency about holdings of reporting issuers’ securities under the early warning system. “These ... Read More
CySEC

CySec announced that a firm obtained the Cyprus Investment Firm license

29/02/2016(0)
The Cyprus Securities and Exchange Commission (CySec), the financial regulatory authority of Cyprus, has announced that “Spot Trading S.T. Ltd“ has successfully obtained the CySec licence for CIF (Cyprus Investment Firm). The firm ... Read More
EU-Commission

Single market: Commission urges four Member States to comply with the Services Directive in the area of regulated professions

26/02/2016(0)
The European Commission is taking further steps in its infringement procedures against Austria, Cyprus, Germany, and Poland on the grounds that their national rules include excessive and unjustified obstacles in the area of ... Read More
Broker Cyprus TopFX