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Regulators

Bcsc canada regulator

B.C. securities regulator alleges misrepresentation, illegal distributions and market manipulation

26/08/2015(0)
The Executive Director of the British Columbia Securities Commission (BCSC) has issued a notice of hearing alleging that three individuals issued false or misleading news releases, made illegal distributions, and participated ... Read More
FSB South Africa

FSB warns the public against Go Direct Stock Market Investments

26/08/2015(1)
The Financial Services Board (FSB) warns the public against conducting financial services business with Go Direct Stock Market Investments (GDSMI), Mr Mzoxolo Bezu and/or Mr Mbuso Mthethwa. GDSMI, Bezu ... Read More
SEC_logo

SEC Announces Asset Freeze Against Alleged EB-5 Fraudster in Seattle Area

26/08/2015(0)
The Securities and Exchange Commission today announced an asset freeze obtained against a man in Bellevue, Wash., accused of defrauding Chinese investors seeking U.S. residency through the EB-5 Immigrant ... Read More
sec-logo

SEC Charges Former Investment Bank Analyst and Two Others With Insider Trading in Advance of Client Deals

26/08/2015(0)
The Securities and Exchange Commission today charged a former investment bank analyst with illegally tipping his close friend with confidential information about clients involved in impending mergers and acquisitions ... Read More
finra1

FINRA Fines Charles Schwab & Co., Inc. $2 Million for Net Capital Deficiencies

25/08/2015(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has censured and fined Charles Schwab & Co., Inc. $2 million for net capital deficiencies and for related supervisory ... Read More
FCA_regulator

FCA warning against clone firm: Castlerigg UCITS Fund PLC

25/08/2015(0)
The Financial Conduct Authority (FCA) of the United Kingdom has issued a warning to alert all recipients that: Fraudsters are using or giving out the following details as part of their ... Read More
bundesbank-feb

Bundesbank: growth in the German economy could continue

24/08/2015(0)
Following robust growth in the first two quarters of 2015, the Bundesbank‘s economists expect the German economy to continue its positive development.“The conditions are currently in place for fairly ... Read More
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CFTC Issues Proposed Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps

21/08/2015(0)
What is Swap? A currency swap is the simultaneous sale and purchase of the same amount of a given currency at a forward exchange rate. Find More Glossary Terms ... Read More
ASIC_regulator

ASIC publishes third report on corporate finance regulation

21/08/2015(0)
ASIC has today published its third report on the regulation of corporate finance issues in Australia. The report, which covers the period January to June 2015, provides companies and ... Read More
fma

FMA New Zealand reports: Guilty pleas entered in OPI Pacific Finance case

21/08/2015(0)
FMA, New Zealand’s Financial Markets Authority, has issued a press release to inform that: Two former directors of OPI Pacific Finance, Mark Lawrence Lacy and Jason Robert Duncan Maywald, ... Read More
Broker Cyprus TopFX