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Regulators

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CFTC Issues Proposed Rule on Cross-Border Margin

30/06/2015(0)
The U.S. Commodity Futures Trading Commission (Commission) today voted unanimously to propose a rule that would apply the Commission’s margin requirements for uncleared swaps in the context of cross-border ... Read More
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SEC Charges KKR With Misallocating Broken Deal Expenses

30/06/2015(0)
The Securities and Exchange Commission today charged Kohlberg Kravis Roberts & Co. (KKR) with misallocating more than $17 million in so-called “broken deal” expenses to its flagship private equity ... Read More
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Bank of Israel imposed financial sanctions on an Israel bank regarding prohibition on Money Laundering and Terror Financing

29/06/2015(0)
The Bank of Israel has issued a press release to inform that: On June 28, 2015, the Banking Corporations Sanctions Committee regarding the prohibition on money laundering and terror ... Read More
FCA_regulator

FCA warning against unauthorised firm

29/06/2015(0)
FCA has issued a press release to inform that the below firm has been providing financial services or products in the UK without its authorisation. Almost all firms and individuals ... Read More
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FCA warning against clone firm

26/06/2015(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
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FCA warning against unauthorised firm

26/06/2015(0)
FCA has issued a press release to inform that the below firm has been providing financial services or products in the UK without its authorisation. Almost all firms and individuals ... Read More
CNMV

CNMV warns the public on Unregistered Firms

25/06/2015(0)
Pursuant to the second paragraph of Article 13 of the Law 24/1988, July 28th the Securities Markets Act, the Comisión Nacional del Mercado de Valores, warns that: JD BUSINESS ... Read More
Bcsc canada regulator

BCSC panel issues lifetime ban against blog writer for fraud

25/06/2015(0)
A British Columbia Securities Commission (BCSC) panel has fined and permanently banned Noshad Dowlati from the province’s capital markets for fraud and trading and advising without registration. Dowlati operated a blog ... Read More
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Australia Regulator Blocks Interactive Brokers’ Currency Trading

25/06/2015(0)
Australia’s securities regulator told Interactive Brokers Group Inc. to stop offering over-the-counter currency trading, saying the company doesn’t have the right license to operate in the nation. The Australian ... Read More
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SEC Obtains Asset Freeze Against China-Based Trader for Suspicious Activity Last Week

24/06/2015(0)
The Securities and Exchange Commission today obtained an emergency court order to freeze the assets of a trader in China who profited by more than $1 million after trading ... Read More
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