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Regulators

finra1

FINRA Sanctions LPL Financial LLC $11.7 Million for Widespread Supervisory Failures Related a Number of Key Areas

07/05/2015(0)
FINRA Sanctions LPL Financial LLC $11.7 Million for Widespread Supervisory Failures Related to Complex Products Sales, Trade Surveillance and Trade Confirmations Delivery LPL Ordered to Pay Approximately $1.7 Million ... Read More
ASIC_regulator

ASIC bans Sydney finance broker and cancels licence

07/05/2015(0)
ASIC has banned a Sydney finance broker from engaging in credit activities for three years and cancelled her Australian credit licence. An ASIC investigation found that Ms Siv Lim ... Read More
ESMA logo

ESMA releases final guidelines clarifying the definition of commodity derivatives under MiFID I

07/05/2015(0)
The European Securities and Markets Authority (ESMA) today published guidelines on the Markets in Financial Instruments Directive (MiFID) I. The purpose of these guidelines is to provide a common, ... Read More
FCA_regulator

FCA warning against clone firm

05/05/2015(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 ... Read More
ASIC_regulator

ASIC cancels AFS licences for failing to lodge annual statements

05/05/2015(0)
ASIC has cancelled the Australian financial services (AFS) licences of four licensees that failed to lodge audited annual statements. These cancellations are the result of ASIC’s most recent proactive ... Read More
Reserve bank of Australiarba

Statement by Glenn Stevens, Governor: Monetary Policy Decision

05/05/2015(0)
At its meeting today, the Board decided to lower the cash rate by 25 basis points to 2.0 per cent, effective 6 May 2015. The global economy is expanding ... Read More
hkex1

Four HKEx Clearing Houses Receive Third-country CCP Recognition from ESMA

04/05/2015(0)
The Board of Supervisors of the European Securities and Markets Authority (ESMA) on 27 April 2015 adopted a decision to recognise all of Hong Kong Exchanges and Clearing Limited’s ... Read More
Bafin

BaFin: Market manipulation – Pre-arranged trades and wash sales

04/05/2015(0)
BaFin has published an article with important information for investors regarding Market manipulation – Pre-arranged trades and wash sales. Trading securities to gain would-be tax advantages could boomerang back ... Read More
cftc-image-jpeg

CFTC Sanctions FCStone, LLC for Supervision Violations

04/05/2015(0)
Firm Ordered to Pay $140,000 Civil Penalty The U.S. Commodity Futures Trading Commission (CFTC) entered an Order filing and simultaneously settling charges against FCStone, LLC, a CFTC-registered Futures Commission ... Read More
fca-building

FCA warning against unauthorised firm

04/05/2015(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 ... Read More
Broker Cyprus TopFX