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Regulators

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Deutsche Bank subsidiaries will pay nearly $75 million to settle charges

23/07/2018(0)
The Securities and Exchange Commission (SEC) announced that two U.S.-based subsidiaries of Deutsche Bank AG will pay nearly $75 million to settle charges of improper handling of “pre-released” American Depositary ... Read More
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SEC charges investment adviser and CEO with misleading retail investors

20/07/2018(0)
The Securities and Exchange Commission (SEC) charged a Connecticut-based investment advisory firm and its chief executive officer with putting $19 million of investor money, including elderly investors’ retirement savings ... Read More
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FCA proposes actions to improve competition in the investment platform market

18/07/2018(0)
Competition is working well for most consumers using investment platforms, according to interim findings of the Financial Conduct Authority’s market study into investment platforms, published. However, the FCA’s interim ... Read More
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CFTC warns people when purchasing virtual currencies

17/07/2018(0)
The Commodity Futures Trading Commission (CFTC) issued a Customer Advisory warning customers to use caution and do extensive research before purchasing virtual coins or tokens, including those that are ... Read More
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Firm to pay $3.4 Million Penalty for attempted manipulation of agricultural markets

16/07/2018(0)
The Commodity Futures Trading Commission (CFTC) issued an Order filing and settling charges against Lansing Trade Group, LLC (Lansing), a commodity merchandising firm with headquarters in Overland Park, Kansas, ... Read More
esma (European Securities and Markets Authority)

ESMA published details of its action plan for systematic internaliser regime calculations

13/07/2018(0)
The European Securities and Markets Authority (ESMA) has published details of its action plan (within its updated Q&As on MiFID II and MiFIR transparency topics) for systematic internaliser (SI) ... Read More
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BCSC warns for unregistered firms providing Forex and cryptocurrency trading

10/07/2018(0)
The British Columbia Securities Commission (BCSC) has issued warnings to inform investors and public for Companies not registered to trade in, or advise on, securities or exchange contracts in ... Read More
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Credit Suisse to pay millions in dollars to settle criminal penalty and charges

09/07/2018(0)
The Securities and Exchange Commission announced that Credit Suisse Group AG will pay approximately $30 million to resolve SEC charges that it obtained investment banking business in the Asia-Pacific ... Read More
esma (European Securities and Markets Authority)

EBA and ESMA publish Guidelines on suitability assessment for management body members and key function holders

06/07/2018(0)
The European Banking Authority (EBA) and the European Securities and Markets Authority (ESMA) have published their joint Guidelines to assess the suitability of members of management bodies and key ... Read More
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