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Regulators

osc ontario

OSC warns regarding Binary Options Firm

05/11/2015(0)
The Ontario Securities Commission (OSC) has issued press releases to warn investors regarding a Binary Options Trading Firm not registered in Ontario Canada. Specific, the OSC is warning that ... Read More
CySEC

CySec issued a Circular regarding National Risk Assessment of Anti Money Laundering and Counter Terrorist Financing Measures

04/11/2015(0)
The Cyprus Securities and Exchange Commission (CySec), the financial regulator of Cyprus, has issued a Circular to inform Regulated Entities the following: 1) National Risk Assessment (‘NRA’) In accordance ... Read More
financial-services-malta-mfsa

MFSA Warning: COSMIC FINANCIAL SERVICES (MALTA) LIMITED

04/11/2015(0)
In terms of article 4(1)(c) of the Malta Financial Services Authority Act, one of the MFSA’s functions is to keep the general public informed of important developments in the ... Read More
onestopbrokers-Regulators

BaFin and the SEC: An international comparison of supervisory practice

03/11/2015(0)
The Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) is often compared to the U.S. Securities and Exchange Commission (SEC) in the media and by the public. The ... Read More
ASIC_regulator

OCM pays $30,600 penalty for misleading advertising

03/11/2015(1)
O.C.M. Online Capital Markets Pty Ltd (OCM) has paid $30,600 in penalties after ASIC issued three infringement notices for false or misleading online advertising. Each infringement notice imposed a ... Read More
SEC_logo

SEC Bars Brokers Who Played Favorites to Double Their Commissions

02/11/2015(0)
The Securities and Exchange Commission today barred two brokers at a now-defunct Connecticut brokerage for giving customer order information to certain favored customers, helping those customers get better prices ... Read More
CySEC

CySec informs regarding the Continuance of Suspension of CIF license of an investment firm

02/11/2015(0)
The Cyprus Securities and Exchange Commission (CySec) has issued today an announcement to inform on its decision in the meeting dated 26 October for Continuance of Suspension of CIF ... Read More
goldman-sachs

NYDFS Announces Goldman Sachs to Pay $50 Million

30/10/2015(0)
NYDFS Announces Goldman Sachs to Pay $50 Million; Accept Three-Year Regulatory Consulting Abstention; Admit Failure to Supervise For Banking Law Violations Goldman Sachs Employee Schemed to Steal Confidential Regulatory ... Read More
eurozone-ecb

Report on Financial Structures details structural changes in the euro area financial sector

30/10/2015(0)
New ECB report covers banks as well as other financial intermediaries Banks, insurance companies and pension funds in largest euro area economies exposed primarily domestically Consolidation and rationalisation in ... Read More
SFC - Hong Kong

SFC Hong Kong warns for Binary Options provider Tooptions

29/10/2015(0)
The Securities and Futures Commission (SFC) Hong Kong, has issued today a warning to inform investors and public for an unlicensed entity with the name HongKong Tooptions Limited. SFC ... Read More
Broker Cyprus TopFX