Advertise With Us
Sign up for our Newsletter
Join Our Directory
Open an Account

Regulators

fraud - red stamp

Former Private Equity Firm Partner Charged With Secretly Billing Clients for His Vacations and Salon Visits

26/10/2017(0)
The Securities and Exchange Commission charged Mohammed Ali Rashid, a former senior partner at Apollo Management L.P., with defrauding his fund clients by secretly billing them for approximately $290,000 ... Read More
fma

FMA commentary on ICOs and cryptocurrencies

25/10/2017(0)
The Financial Markets Authority (FMA),  a regulatory authority for the capital markets and financial services in New Zealand, has published commentary on initial coin offers (ICOs) and cryptocurrency services ... Read More
red Fraud-Stamp image

CNMV advise: Be wary of fraud through internet and social networks

25/10/2017(0)
The Comision Nacional Del Mercado De Valores (CNMV), a financial markets regulator in Spain, has issued an information statement to advice public and investors regarding unsolicited investment offers. Non-registered ... Read More
bank-fines

Merrill Lynch fined £34.5 million for failures under EMIR

24/10/2017(0)
Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and ... Read More
onestopbrokers-Regulators

Supervisory authorities around the world warn of unauthorised financial services entities

23/10/2017(0)
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Austria (Financial Market Autority – FMA), Switzerland (Swiss Financial Market Supervisory Authority – FINMA), Ireland (Central Bank ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announced fines for executive directors

19/10/2017(0)
The Board of the Cyprus Securities and Exchange Commission (CySec) has issued today an announcement to inform the public that, at its meeting held on 6 February 2017, it ... Read More
European Banking Authority logo

The European Banking Authority issued Opinion on the design of a new prudential framework for investment firms

19/10/2017(0)
The European Banking Authority (EBA) published its Opinion on the design and calibration of a new prudential framework for investment firms, which is specifically tailored to the needs of ... Read More
cftc-logo

CFTC announces Clearinghouse liquidity stress test results

18/10/2017(0)
Staff of the U.S. Commodity Futures Trading Commission (CFTC) issued a report detailing the results of an evaluation of settlement liquidity at clearinghouses. The purpose of the analysis was to ... Read More
Cyprus Securities and exchange commission (cysec)

CySec witdraw the license suspension of a Cyprus Investment Firm

17/10/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform that, further to its Decision published on 31st March 2017, informs the public that, at its meeting dated ... Read More
wells-fargo

Wells Fargo Broker-Dealers to Pay $3.4 Million

17/10/2017(0)
The Financial Industry Regulatory Authority (FINRA) announced that it has ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC to pay more than $3.4 million ... Read More
Broker Cyprus TopFX