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Regulators

BNP Paribas

BNP Paribas ordered to pay $90 Million penalty; The reason?

31/08/2018(0)
The Commodity Futures Trading Commission (CFTC) issued an Order filing and settling charges against BNP Paribas Securities Corp. (BNP Paribas or the Bank) for attempted manipulation of the ISDAFIX ... Read More
sec-logo

Moody’s credit ratings agency to pay $16.25 million in penalties to settle charges

29/08/2018(0)
The U.S Regulator, Securities and Exchange Commission (SEC), announced that Moody’s Investors Service Inc., one of the nation’s largest credit ratings agencies, has agreed to pay a total of ... Read More
fined

Enormous refund ordered to USA retail investors for being misled

28/08/2018(0)
The Securities and Exchange Commission (SEC) announced charges against four Transamerica entities for misconduct involving faulty investment models and ordered the entities to refund $97 million to misled retail ... Read More
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Individual and a Company fined in virtual currencies fraud

27/08/2018(0)
A New York federal court entered final judgment ordering Patrick K. McDonnell of Staten Island, New York, and CabbageTech, Corp. d/b/a Coin Drop Markets (CDM), McDonnell’s New York-based company, ... Read More
FCA_regulator

FCA UK announced criminal prosecution in relation to an unauthorised investment scheme

22/08/2018(0)
The Financial Conduct Authority (FCA) has issued a press release to inform that has commenced a criminal prosecution against Mark Barry Starling (date of birth: 23/01/1961) of Farnham, Surrey, ... Read More
onestopbrokers-Regulators

Beware of these investment services firms not been authorized in different countries

21/08/2018(0)
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Hong Kong (Securities and Futures Commission – SFC), Malta (Malta Financial Services Authority – MFSA), British Columbia ... Read More
penalty image

US financial services company will pay millions to settle charges; The reason?

17/08/2018(0)
The Securities and Exchange Commission (SEC) has issued an announcement to inform that Ameriprise Financial Services Inc. will pay $4.5 million to settle charges. The Reason According to SEC’s ... Read More
Bafin

German financial regulator warns against unlicensed CFDs, Binary and Forex online trading platforms

13/08/2018(0)
BaFin, the financial supervisor for the banking, securities and insurance sectors in Germany, and one of the largest financial supervisory authorities in Europe, has issued an announcement to warn ... Read More
CySEC logo

CySEC informs Market Participants for the timely request of authorisation following Brexit

10/08/2018(0)
The Cyprus Securities and Exchange Commission (CySEC) has issued an announcement to draw the attention of all Market Participants to the Public Statement issued by the European Securities and ... Read More
CySEC logo

Cyprus Investment Firm paid €250.000 to settle possible violations

09/08/2018(0)
The Cyprus Securities and Exchange Commission (CySEC), the independent public supervisory Authority responsible for the supervision of the investment services market in Cyprus, has issued an announcement to inform that ... Read More
Broker Cyprus TopFX