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Regulators

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SEC charged Two men and Eight companies with defrauding investors

31/07/2015(0)
The Securities and Exchange Commission today charged two men and eight companies with defrauding investors, many of them upstate New York residents, who purchased the companies’ securities and so-called ... Read More
nfa log

NFA takes emergency enforcement action against commodity trading advisor

31/07/2015(0)
National Futures Association (NFA) announced today that it has taken an emergency enforcement action against Jonathan Parker (Parker), an NFA Member commodity trading advisor (CTA) located in Woodstock, Ga. This action ... Read More
SFC - Hong Kong

SFC reprimands and fines Nomura International (Hong Kong) Limited HK$4.5 million for regulatory breach

30/07/2015(0)
The Securities and Futures Commission (SFC) has reprimanded and fined Nomura International (Hong Kong) Limited (Nomura Hong Kong) HK$4.5 million for failing to report significant misconduct by a former ... Read More
fca-building

FCA bans former Rabobank trader, Lee Stewart, following LIBOR fraud

30/07/2015(0)
The Financial Conduct Authority (FCA) has banned Lee Stewart, a former trader at Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A. (Rabobank) from the UK financial services industry for lacking honesty and integrity ... Read More
ASIC_regulator

ASIC takes civil action against two for unlicensed financial services business

30/07/2015(0)
ASIC has commenced civil proceedings in the Supreme Court of Queensland against Dr Roger Gareth Munro and Mrs Kathleen Susan Munro. ASIC is seeking declarations and other orders in ... Read More
finma

FINMA Switzerland warns for unauthorised firms

29/07/2015(0)
FINMA, the Swiss Supervisory authority, has issued a warning to inform investors for companies suspected of conducting unauthorised activities in the financial market. FINMA added on July 29 the ... Read More
Cyprus Securities and exchange commission (cysec)

CySec informs that decided to withdraw the suspension of a CIF

29/07/2015(0)
The Cyprus Securities and Exchange Commission (‘CySec’), has issued a press release to inform that on its meeting dated 20 July 2015, decided to withdraw, as from 27 July ... Read More
fca-building

FCA UK has issued warnings for unauthorized investment firms

29/07/2015(0)
FCA, the financial regulator of UK, has issued notices to warn public for investment companies that believes that have been providing financial services in UK without its authorization. The ... Read More
FCA_regulator

Firms making good progress in handling unauthorised transactions

28/07/2015(0)
Research into how claims are handled for unauthorised transactions (when a payment is made from a consumer’s account without their consent) found that firms are making good efforts to ... Read More
ASIC_regulator

ASIC bans former director of Provident Capital Limited

28/07/2015(0)
ASIC has banned Mr Trevor John Seymour, a former director of Provident Capital Limited (Provident Capital), from managing corporations for three years and providing financial services for three years. ... Read More
Broker Cyprus TopFX