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Regulators

Central-bank-of-UAE

SCA Forces Electronic Connection with CBUAE on Brokerage Companies

16/09/2015(0)
The Securities and Commodities Authority (SCA) forced UAE-based securities and commodities brokerage companies to work on activating electronic connection with the Anti-Money Laundering and Suspicious Cases Unit of the Central ... Read More
finra1

FINRA Sanctions 10 Former Global Arena Representatives

16/09/2015(0)
The Financial Industry Regulatory Authority (FINRA) announced that as a result of a 2014 onsite exam, it found securities violations including various misleading sales pitches, customer account churning and ... Read More
CySEC

CySec announces acquisition of CIF (Cyprus Investment Firms) licence

16/09/2015(0)
The Cyprus Securities and Exchange Commission (CySec), the Cypriot financial regulatory authority, has announced that “Alfa Forex Ltd“ has successfully obtained the CySec licence for CIF (Cyprus Investment Firms). The firm is ... Read More
ESMA logo

ESMA raises its market risk indicator to highest level

15/09/2015(0)
The European Securities and Markets Authority (ESMA) has published today its Trends, Risks and Vulnerabilities Report No. 2 for 2015 on European Union (EU) securities markets, covering market developments from January ... Read More
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SEC Obtains $30 Million From Traders Who Profited on Hacked News Releases

15/09/2015(0)
Litigation Continues Against 32 Other Defendants in Alleged $100 Million Scheme The Securities and Exchange Commission today announced that Ukrainian-based Jaspen Capital Partners Limited and CEO Andriy Supranonok have ... Read More
FCA_regulator

FCA UK warns on clone and unauthorised financial services Firms

15/09/2015(0)
The Financial Conduct Authority UK has issued press releases to inform public regarding a clone firm and firms that the Authority believes that have been providing financial services without ... Read More
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CFTC Charges Hannes Tulving, Jr., through his company for a $17.8 Million Precious Metals Scheme

15/09/2015(0)
At Least 381 Customers Nationwide Allegedly Defrauded in the Scheme The U.S. Commodity Futures Trading Commission (CFTC) today filed a civil Complaint against Defendants Hannes Tulving, Jr. of Newport Beach, ... Read More
CySEC

CySec announced that a firm has obtained license for CIF

15/09/2015(0)
The Cyprus Securities and Exchange Commission (CySec), the Cypriot financial regulatory authority, has announced that “Eurotrade Investments RGB Ltd“ has successfully obtained the CySec licence for CIF (Cyprus Investment ... Read More
FSC Mauritius logo

FSC Mauritius warns on a firm claiming to hold an Investment Dealer Licence

14/09/2015(1)
The Financial Services Commission, Mauritius (the “FSC Mauritius”) has issued a warning to alert public with regards to BANK CAPITAL-INVESTMENT MANAGEMENT (“BANK CAPITAL”). The FSC Mauritius has recently been ... Read More
FSMA logo

List of companies offering services, all operating unlawfully in Belgium

14/09/2015(0)
The Financial Services and Markets Authority (FSMA) has, on several occasions, warned the public against the activities of various providers of/intermediaries in binary options and forex products, as well ... Read More
Broker Cyprus TopFX