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Regulators

FCA-logo

FCA warns against unauthorised firm

21/08/2015(0)
FCA has issued a warning to inform public against a firm that is not authorised by the Authority but has been targeting people in the UK. This firm is: ... Read More
Bcsc canada regulator

BCSC warns against unregistered forex trading platform

20/08/2015(0)
British Columbia Securities Commission has issued a press release to inform public for an unregistered on-line forex trading platform made unsolicited telephone calls to British Columbia (BC) residents, to ... Read More
CySEC

CySec announces acquisition of CIF (Cyprus Investment Firms) licence

20/08/2015(0)
The Cyprus Securities and Exchange Commission (CySec) the Cypriot financial regulatory authority, has announced that “TAKIBROKERS LIMITED“ has successfully obtained the CySec licence for CIF (Cyprus Investment Firms). The ... Read More
cftc

CFTC Orders Swap Dealer to Pay $200,000

20/08/2015(0)
CFTC Orders Swap Dealer INTL FCStone Markets, LLC to Pay a $200,000 Civil Monetary Penalty for Failure to Supervise Swaps Trading in Violation of CFTC Regulation 23.602 The U.S. ... Read More
SEC_logo

SEC Charges Citigroup and agreed to pay $15 million

20/08/2015(0)
SEC Charges Citigroup Global Markets for Compliance and Surveillance Failures The Securities and Exchange Commission  announced that Citigroup Global Markets has agreed to settle charges that it failed to ... Read More
FCA_regulator

FCA warns against clone and unauthorised firms

19/08/2015(6)
The Financial Conduct Authority (FCA) of the United Kingdom has issued a warning to alert investors and public that: Fraudsters are using or giving out the following details as ... Read More
SFC - Hong Kong

SFC recovers $23 million for investors from restoration orders against insider dealer Du Jun

19/08/2015(0)
Court appointed administrators, Mr John Lees and Mr Mat Ng of JLA Asia Limited, have completed distributions of restoration payments to all but three of the 297 counterparties to ... Read More
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CFTC Issues Order of Exemption from Registration as a Derivatives Clearing Organization to ASX Clear (Futures) Pty Limited

19/08/2015(0)
First Order of its Kind Issued by the Commission The U.S. Commodity Futures Trading Commission (Commission) issued an order of exemption from registration as a derivatives clearing organization (DCO) ... Read More
SEC- Headquarters

SEC Charges BNY Mellon With Foreign Corrupt Practices Act Violations

19/08/2015(0)
The Securities and Exchange Commission announced that BNY Mellon has agreed to pay $14.8 million to settle charges that it violated the Foreign Corrupt Practices Act (FCPA) by providing ... Read More
FCA_regulator

FCA warns public for unauthorised firm

18/08/2015(0)
FCA, the financial regulator of UK, has issued a press release to inform that the below firm has been providing financial services or products in the UK without its authorisation. ... Read More
Broker Cyprus TopFX