Advertise With Us
Sign up for our Newsletter
Join Our Directory
Open an Account

Regulators

FCA_regulator

FCA bans former UBS senior trader from any regulated financial activity

19/10/2015(0)
The Financial Conduct Authority (FCA) bans Kweku Mawuli Adoboli from the financial services industry FCA UK, the financial regulatory authority of UK, has issued a press release to inform ... Read More
CySEC

CySec announced an administrative fine to CLR Overseas Ltd

16/10/2015(0)
The Cyprus Securities and Exchange Commission ( CySEC ) has notified the public that at the meeting held on February 16th, 2015, decided to impose an administrative fine of ... Read More
cftc-logo

CFTC extends conditional relief for Australian-based trading platform Yieldbroker

16/10/2015(0)
The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (DMO) today announced it has issued a no-action letter extending conditional time-limited relief for Australian-based trading platform Yieldbroker ... Read More
ASIC_regulator

ASIC cancels the license of Forex Broker Firm

15/10/2015(0)
Following its investigation, ASIC has cancelled the Australian financial service licence (AFSL) of LSG Group Pty Ltd , formerly known as NZ Global Financial Trading Pty Ltd, Easy Capital ... Read More
sec-logo

UBS to Pay $19.5 Million Settlement Involving Notes Linked to Forex trading strategy

14/10/2015(0)
Case Is Agency’s First Against an Issuer of Retail Structured Notes The Securities and Exchange Commission today announced that UBS AG has agreed to pay $19.5 million to settle ... Read More
finra1

FINRA Sanctions Santander Securities LLC $6.4 Million

14/10/2015(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it ordered Santander Securities LLC to pay approximately $4.3 million in restitution to certain customers who were solicited to purchase ... Read More
fma

FMA warns about MercerFXcom

14/10/2015(0)
The Financial Markets Authority (FMA) of New Zealand has issued an announcement to warn public for MercerFXcom. Specific, FMA states informs that: Name of company: MercerFXcom Website: www.mercerfx.com Reason ... Read More
FCA_regulator

FCA UK issued a warning for a Forex Trading Firm

14/10/2015(0)
FCA has issued a press release to inform that the below firm has been providing financial services or products in the UK without its authorisation. Almost all firms and individuals ... Read More
fsb

FSB warns regarding an online trading company

13/10/2015(0)
The Financial Services Board (FSB), an independent institution established by statute to oversee South African non-banking financial services industry, warns the public to act with caution when dealing with Broker Capital, an ... Read More
SEC_logo

SEC charged Trading Company With failing to maintain Policies to prevent misuse of Material Nonpublic Information

13/10/2015(0)
The Securities and Exchange Commission today charged Wolverine Trading LLC and Wolverine Asset Management LLC with failing to maintain and enforce policies and procedures to prevent the misuse of ... Read More
Broker Cyprus TopFX