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Regulators

ASIC_regulator

ASIC bans former financial adviser for market manipulation

18/12/2015(0)
ASIC has banned Tony Davidof, a former financial adviser, from providing financial services for three years. An ASIC investigation found that Mr Davidof engaged in manipulation of the price ... Read More
financial-services-malta-mfsa

Suspension of Licence of JFP Investments (SICAV) plc

17/12/2015(0)
On 14 December 2015, the Malta Financial Services Authority (‘the Authority’) has, on regulatory grounds, suspended with immediate effect, the Collective Investment Scheme Licence of JFP Investments (SICAV) plc (“the Scheme”) ... Read More
ASIC_regulator

ASIC: IronFX corrects disclosure about Australian regulation and counterparty arrangements

17/12/2015(0)
The Australian Securities and Investments Commission has issued an announcement to inform that: Following concerns raised by ASIC, retail OTC derivative issuer, IronFX Global Australia Pty Ltd (IronFX Australia) ... Read More
The-US-Federal-Reserve-007

FED raises interest rates first time since 2006

17/12/2015(0)
Information received since the Federal Open Market Committee met in October suggests that economic activity has been expanding at a moderate pace. Household spending and business fixed investment have ... Read More
IOSCO logo -large

Paul P. Andrews of FINRA Named IOSCO Secretary General

16/12/2015(0)
The Board of the International Organization of Securities Commissions (IOSCO) today announced it has appointed Paul P. Andrews as its new Secretary General. Mr. Andrews is currently the Vice ... Read More
finma

FINMA Switzerland warns for unauthorised Forex Broker

16/12/2015(0)
FINMA, the Swiss Supervisory authority, has issued a warning to inform investors for companies suspected of conducting unauthorised activities in the financial market. FINMA added on December 15 the below company ... Read More
SFC - Hong Kong

SFC reprimands and fines three JP Morgan entities a sum of $30 million for regulatory breaches

16/12/2015(0)
The Securities and Futures Commission (SFC) has reprimanded J.P. Morgan Broking (Hong Kong) Limited (JPMBHK), J.P. Morgan Securities (Asia Pacific) Limited (JPMSAP) and J.P. Morgan Securities (Far East) Limited ... Read More
SEC_logo

SEC Files Charges in Multi-Million Dollar Market Manipulation

16/12/2015(0)
The Securities and Exchange Commission today charged a New Jersey man and his company with illicitly pocketing $13 million from an elaborate pump-and-dump scheme. The SEC alleges that Samuel ... Read More
CySEC

CySec has issued an announcement regarding Compensation payment process to the covered clients of Pulp International

15/12/2015(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform regarding the compensation payment process by the ICF to the covered clients of Pulp International Business ... Read More
FCA-logo

FCA fines Threadneedle Asset Management Limited £6m

15/12/2015(0)
The Financial Conduct Authority (FCA) has fined Threadneedle Asset Management Limited (TAML) £6,038,504 for failing to put in place adequate controls in the fixed income area of its front ... Read More
Broker Cyprus TopFX