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Regulators

ASIC_regulator

ASIC reports on how large financial institutions manage conflicts of interest in financial advice

24/01/2018(0)
An Australian Securities and Investments Commission (ASIC) review of financial advice provided by the five biggest vertically integrated financial institutions has identified areas where improvements are needed to the ... Read More
nfa log

BCD Forex Investments LLC permanently barred

18/01/2018(0)
The National Futures Association has issued an announcement to inform that has permanently barred Glendale, Ariz. commodity trading advisor BCD Forex Investments LLC (BCD) from membership and from acting ... Read More
Cyprus Securities and exchange commission (cysec)

CySec informs that two Administrative Services Providers waived their authorisation

16/01/2018(0)
The Cyprus Securities and Exchange Commission (CySec) has issued today two announcements to inform that two firms providing Administrative Services waived their authorisation. According the CySec’s announcement, the firms ... Read More
alert

UK Regulator released the names of unauthorised binary options providers

15/01/2018(1)
The Financial Conduct Authority (FCA) has published a list of 94 firms without FCA authorisation that it understands to be offering binary options trading to UK consumers. Since January ... Read More
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EFG Bank AG fined $2 million

12/01/2018(0)
The Securities and Futures Commission (SFC) has reprimanded and fined EFG Bank AG (EFG Bank) $2 million for dealing in futures contracts without the required registration (Note 1). The ... Read More
Cyprus Securities and exchange commission (cysec)

Shareholder of a Cyprus Investment Firm fined by CySec

11/01/2018(0)
The Board of the Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform the public that, at its meeting held on 13 November 2017, decided to ... Read More
esma (European Securities and Markets Authority)

ESMA publishes register of derivatives to be traded on-venue under MiFIR

10/01/2018(0)
The European Securities and Markets Authority (ESMA) has published a public register of those derivative contracts that are subject to the trading obligation under the Markets in Financial Instruments ... Read More
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FCA fines and bans former RBS trader

09/01/2018(0)
The Financial Conduct Authority (FCA) has imposed a financial penalty of £250,000 on former Royal Bank of Scotland (RBS) interest rate derivatives trader, Neil Danziger, and prohibited him from ... Read More
FCA_regulator

FCA UK released the appointment of new Chair

08/01/2018(0)
HM Treasury announced the appointment of Charles Randell CBE as the new Chair of the Financial Conduct Authority (FCA). Charles is currently an external member of the Prudential Regulation ... Read More
FCA_regulator

FCA released a statement on transitional arrangements for trading venues under MiFIR Article 54(2)

04/01/2018(0)
Under Article 54(2) of the Markets in Financial Instruments Regulation (“MiFIR”), an EU Central Counterparty (CCP) or trading venue may apply to its Competent Authority for a transitional arrangement ... Read More
Broker Cyprus TopFX