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Regulators

FCA_regulator

MiFID II – the road ahead

22/10/2015(0)
The financial Conduct Authority (FCA), the financial regulator of UK, has published a Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at the FCA MiFID ... Read More
CySEC

CySec announced on the way complaints against Cyprus Investment Firms (“CIF”) are handled

22/10/2015(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform public and investors that: On the occasion of the full operation of the Financial Ombudsman of ... Read More
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CFTC charges individial for fraud involving a Futures Trading System and Advisory Service

22/10/2015(0)
Gramalegui also Charged with Violating a CFTC Administrative Order Entered in 2001, Settling Prior Fraud Charges Brought against Him The U.S. Commodity Futures Trading Commission (CFTC) today announced the ... Read More
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FINRA Sanctions 12 Firms a Total of $6.7 Million

21/10/2015(0)
More than $4 Million in Restitution Ordered to Affected Customers The Financial Industry Regulatory Authority (FINRA) has issued an announcement to inform that: That it has ordered 12 firms ... Read More
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Over $31 Million in penalties for Fraud and Ponzi Scheme Operator

21/10/2015(0)
In a Related Criminal Action, John R. Bullar was sentenced to 8 Years 4 Months in Prison and Ordered to Pay over $6 Million in Criminal Restitution The U.S. ... Read More
CySEC

CySec announced Withdrawal of suspension of CIF authorisation

21/10/2015(0)
The Cyprus Securities and Exchange Commission (CySec), the financial regulatory authority of Cyprus, has issued an announcement to inform that: Further to the announcement dated 16 July 2015, informs the ... Read More
bank of russia

Bank of Russia Warnings: Perspective Plus Investment Company

20/10/2015(0)
On cancelling licence of professional securities market participant On 8 October 2015, the Bank of Russia took a decision to cancel licence of a professional securities market participant to carry out securities management No. 163-03386-001000, dated 29 November 2000, ... Read More
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SEC announced settlement of charges with two UBS Advisory Firms

20/10/2015(0)
Two UBS Advisory Firms Settle Charges Arising From Failure to Disclose Change in Investment Strategy Settlement Will Return More Than $13 Million to Harmed Investors The Securities and Exchange ... Read More
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CONSOB warns for unauthorised investment firms

19/10/2015(0)
The Commissione Nazionale per le Società e la Borsa (Consob), the regulatory authority of Italy, has issued an announcement to inform public and investors for firms not authorised to ... Read More
Central Bank of Hungary

MNB warns for INTERACTIVE LTD

19/10/2015(0)
The Central Bank of Hungary (MNB) has issued a press release to inform public regarding an unauthorised firm with the name INTERACTIVE LTD. Specific, MNB informs that: INTERACTIVE LTD. ... Read More
Broker Cyprus TopFX