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Regulators

athens-stock-exchange

ATHEX announced the acquisition of a market making license for three firms

04/01/2016(0)
The Stock Markets Steering Committee of Hellenic Exchanges – Athens Stock Exchange, has issued an announcement to inform in relation to the acquisition of a market making license for ... Read More
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Slovene Securities Market Agency is warning investors

30/12/2015(0)
Slovene Securities Market Agency has issued a warning to inform investors and public about activities of the companies: GCM Marketing Ltd., 112 Bonadie Street, Kingstown, St. Vincent, Lyxor Ltd., ... Read More
barclays

FINRA Sanctions Barclays Capital, Inc. $13.75 Million for Unsuitable Mutual Fund Transactions and Related Supervisory Failures

30/12/2015(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has ordered Barclays Capital, Inc. to pay more than $10 million in restitution, including interest, to affected customers for ... Read More
SFC - Hong Kong

SFC signs MoU with CFTC to enhance supervision of Cross-Border Regulated Entities

29/12/2015(0)
The Securities and Futures Commission (SFC) has entered into a memorandum of understanding (MoU) with the U.S. Commodity Futures Trading Commission (CFTC) regarding cooperation and the exchange of information ... Read More
DFSA logo

Scammers Impersonate the DFSA’s Chief Executive and Barclays Bank PLC UAE, in an Advance Fee Scam

29/12/2015(0)
The DFSA alerts the financial services community and the public to an Advance Fee Scam in which: the DFSA’s Chief Executive; and the name of Barclays Bank PLC UAE (Barclays), ... Read More
PBC China Central Bank 1

China central bank details rules on online payment

29/12/2015(0)
China’s central bank released detailed regulations of online payment services by non-bank institutions on Monday in the latest effort to contain possible risks in the booming Internet finance industry. ... Read More
SEC_logo

Traders in China and Hong Kong Paying $920,000 to Settle Insider Trading Case

29/12/2015(0)
The Securities and Exchange Commission today announced that two traders in China and Hong Kong have agreed to pay more than $920,000 to settle an insider trading case against ... Read More
onestopbrokers-Regulators

Financial Regulators of Italy, UK and British Columbia warn in relation with investment firms

28/12/2015(0)
The financial regulators of Italy Commissione Nazionale per le Società e la Borsa (Consob), UK Financial Conduct Authority (FCA) and the British Columbia Securities Commission (BCSC) have issued warnings ... Read More
FSMA logo

FSMA Belgium published list of investement firms engaging in unauthorized activities in Belgium

28/12/2015(0)
The Financial Services and Markets Authority (FSMA) warns the public against the activities of various “boiler rooms” that are contacting Belgian consumers. Companies operating unlawfully and against which the ... Read More
Morgan Stanley is pictured on a building in San Diego

Morgan Stanley Settles Charges in “Parking” Scheme

23/12/2015(0)
The Securities and Exchange Commission today announced that Morgan Stanley Investment Management has agreed to pay $8.8 million to settle charges that one of its portfolio managers unlawfully conducted ... Read More
Broker Cyprus TopFX