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Regulators

ASIC_regulator

ASIC’s 2017-20 data strategy launched

19/09/2017(0)
The Australian Securities and Investments Commission has today launched its data strategy for 2017-20. The strategy, which outlines how ASIC will capture, share and use data, will transition ASIC ... Read More
onestopbrokers-Regulators

Supervisory authorities around the world warn for unauthorised financial services entities

18/09/2017(0)
The supervisory authorities of Australia (Australian Securities and Investment Commission- ASIC), United Kingdom (Financial Conduct Authority – FCA), Hong Kong (Securities and Futures Commission – SFC), Belgium (Financial Services ... Read More
bank-of-england

Bank of England announced Bank Rate held at 0.25%

15/09/2017(0)
The Bank of England has issued a press release to announce monetary policy summary. According the announcement: The Bank of England’s Monetary Policy Committee (MPC) sets monetary policy to ... Read More
Securities Exchange Commission

U.S. Regulator is monitoring the impact of Hurricane Irma on investors and capital markets

14/09/2017(0)
The Securities and Exchange Commission is closely monitoring of the impact of Hurricane Irma on investors and capital markets, and continues to monitor the impacts of Hurricane Harvey. “As ... Read More
finra1

FINRA fines broker dealer $750,000

13/09/2017(0)
FINRA Hearing Panel Fines C.L. King & Associates $750,000 for Negligent Misrepresentations and Omissions in Connection with Death Put Investments and AML-Related Violations The Financial Industry Regulatory Authority (FINRA) ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announced: New Cyprus Investment Firm authorisation

12/09/2017(0)
The Cyprus Securities and Exchange Commission (CySec), the financial regulatory authority of Cyprus, has issued an announcement to inform that a new firm has been approved by the Commission as ... Read More
ASIC_regulator

Merrill Lynch (Australia) Futures pays $60,000 in infringement notice penalty

12/09/2017(0)
Merrill Lynch (Australia) Futures Limited (“MLAF”) has paid a penalty of $60,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (“the MDP”). The ... Read More
ASIC_regulator

ASIC bans former financial adviser for five years

11/09/2017(0)
ASIC has banned former financial adviser Daniel Gerard Manley from providing financial services for five years. ASIC found that Mr Manley engaged in conduct that was misleading or deceptive, ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announced a new firm received the Cyprus Investment Firm license

08/09/2017(0)
The Cyprus Securities and Exchange Commission (CySec), the financial regulatory authority of Cyprus, has issued an announcement to inform that a new firm has been approved by the Commission as ... Read More
fed-logo-colour

Federal Reserve outlines next steps for payment system improvement

07/09/2017(0)
The Federal Reserve published, Strategies for Improving the U.S. Payment System: Federal Reserve Next Steps in the Payments Improvement Journey, a paper identifying updated tactics it will pursue to ... Read More
Broker Cyprus TopFX