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Regulators

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FCStone Financial Ordered To Pay A Penalty

17/11/2017(0)
The Commodity Futures Trading Commission (CFTC) issued an order filing and settling charges against FCStone Merchant Services LLC (FCStone Merchant) for entering into multiple noncompetitive trades and against INTL ... Read More
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European Authority Highlights The Risks of Initial Coin Offerings

15/11/2017(0)
The European Securities and Markets Authority (ESMA) has issued two Statements on Initial Coin Offerings (ICOs), one on risks of ICOs for investors and one on the rules applicable ... Read More
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FCA UK Warns About Investing In Cryptocurrency CFDs

15/11/2017(0)
The Financial Conduct Authority, the conduct and prudential regulator for financial services firms and financial markets in the UK, has issued a warning to inform public and investors in ... Read More
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Financial planner sentenced to 10 years imprisonment for fraud

14/11/2017(0)
The former Principal of Sherwin Financial Planners Pty Ltd and Chairman of Wickham Securities Ltd, Bradley Thomas Sherwin, was sentenced in the Brisbane District Court to a total of ... Read More
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Capita Financial Managers to pay up to £66 million to those investors who suffered loss of an investment

13/11/2017(0)
The Financial Conduct Authority has today announced that Capita Financial Managers Limited (CFM) has been publicly censured and will pay up to £66 million to those investors who suffered ... Read More
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ESMA Released An Update Of Its Q&As On MiFIDII/MiFIR Investor Protection Topics

13/11/2017(0)
The European Securities and Markets Authority (ESMA) has added 4 new Q&As to its Questions and Answers (Q&A) document on the implementation of investor protection topics under the Market ... Read More
esma (European Securities and Markets Authority)

MiFID II: ESMA Consults On Systematic Internalisers’ Quote Rules

10/11/2017(0)
The European Securities and Markets Authority (ESMA) has opened a public consultation on a proposed amendment to the Regulatory Technical Standard (RTS 1) which details the implementation of the ... Read More
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Citibank refunds $3.3 million to credit card customers

09/11/2017(0)
Citibank will refund more than $3.3 million to around 39,500 current and former customers for failing to refund customers when credit card accounts were closed with an outstanding credit ... Read More
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Investors Beware To Online Paid-To-Click Scams

08/11/2017(0)
The U.S. Securities and Exchange Commission has issued a warning to inform investors to beware online “paid-to-click” scams that promise an easy payday by merely purchasing a membership or ... Read More
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CFTC Orders Cargill to Pay a $10 Million Civil Monetary Penalty

07/11/2017(0)
The Commodity Futures Trading Commission (CFTC) announced the filing and simultaneous settlement of charges against Cargill, Inc. (Cargill), of Minnesota, for providing mid-market marks (marks) that concealed from counterparties and ... Read More
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