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Regulators

cftc

CFTC Orders FXCM to Pay More Than $843,000

09/09/2015(0)
The U.S. Commodity Futures Trading Commission (CFTC) has issued a press release to inform on its decision to order Forex Capital Markets, LLC to pay more than $843,000 for Supervision ... Read More
CySEC

CySec Cyprus warns for unauthorised firm providing investment and ancillary services

08/09/2015(0)
The Cyprus Securities and Exchange Commission (CySec) has issued a press release to inform public for an unauthorised firm providing investment and ancillary services in Cyprus. Specific, CySec warns ... Read More
ASIC_regulator

ASIC Australia bans a broker and a former financial adviser from providing financial services

08/09/2015(0)
The Australian Securities & Investments Commission (ASIC), has issued a press release to inform in relation to its decision to ban broker Mr. Raghwa Nand Prasad from providing financial ... Read More
sebi-buil2ding

Sebi inspecting JPMorgan MF’s books

08/09/2015(0)
Market regulator Sebi has started inspecting the books of the troubled JPMorgan Mutual Fund and is also looking into its processes to see what went wrong with two of ... Read More
European Banking Authority logo

EBA updates on remuneration practices and high earners data for 2013 across the EU

08/09/2015(0)
The European Banking Authority (EBA) published today a report combining the benchmarking of remuneration practices across the European Union and aggregated data on the remuneration of EU institutions’ staff who received, ... Read More
fca-building

FCA: New Financial Services Register

08/09/2015(0)
A new Financial Services Register makes it easier to find information on firms, individuals and other bodies that are, or have been, regulated by the PRA and/or the FCA. ... Read More
onestopbrokers-Regulators

Financial Regulators in UK and Spain warn on unauthorised investment firms

08/09/2015(0)
The UK and Spanish Financial regulators Financial Conduct Authority (FCA) and Comision Nacional del Mercado De Valores (CNMV), have issued warnings to inform public for firms providing financial products and ... Read More
sec-logo

SEC Charges Hedge Fund Adviser

07/09/2015(0)
The Securities and Exchange Commission (SEC) has issued a press release to inform that the Commission charges Seattle-Area Hedge Fund Adviser With Taking Unearned Management Fees. Two Accountants Charged ... Read More
SFC - Hong Kong

SFC regulator of Hong Kong warns on binary options broker OptionRally

07/09/2015(0)
Securities and Futures Commission, the Financial Regulator of Hong Kong, keeps on its website an Alert List that includes firms that are not licensed in Hong Kong and are ... Read More
finra1

FINRA Issues Investor Alert, Messaging Apps Are Latest Platform for Delivering Pump-And-Dump Scams

04/09/2015(0)
The Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert called Messaging Apps Are Latest Platform for Delivering Pump-And-Dump Scams. FINRA’s new Alert warns investors to be wary of ... Read More
Broker Cyprus TopFX