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Regulators

bank-fines

Ikon Global Markets ordered to Pay $200,000

04/09/2017(0)
The U.S. Commodity Futures Trading Commission (CFTC) issued an Order filing and simultaneously settling charges against Ikon Global Markets, Inc. (Ikon) for failing to keep and promptly produce documentation ... Read More
Cyprus Securities and exchange commission (cysec)

CySec informs on the approval of a new ASP and a new Cyprus Investment Firm

01/09/2017(0)
The Cyprus Securities and Exchange Commission (CySec), the financial regulatory authority of Cyprus, has issued today two announcements to inform that two firms have been approved by the Commission as an ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announced a new firm authorised as a Cyprus Investment Firm

31/08/2017(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
SFC-logo-office

SFC issues restriction notices to three brokers to freeze client accounts linked to suspected market manipulation

31/08/2017(0)
The Securities and Futures Commission (SFC) has issued restriction notices to Caitong International Securities Co., Ltd, Pacific Foundation Securities Limited and Yuanta Securities (Hong Kong) Company Limited (the brokers), ... Read More
Belize

IFSC warns about Binary/Forex Trade and SMARTTRADE SERVICES LIMITED

30/08/2017(0)
The International Financial Services Commission of Belize (IFSC), the financial regulator of Belize, has issued warnings to inform investors and public about non regulated entities. According he releases, the ... Read More
ecb_web-thumb-large

ECB fined Irish bank for a total of €2.5m

29/08/2017(0)
The ECB has fined Irish bank PTSB €2.5m for breaking liquidity rules, its first such penalty The European Central Bank (ECB) has issued its first penalty against a bank ... Read More
Cyprus Securities and exchange commission (cysec)

CySec informs that a new firm received the Cyprus Investment Firm license

28/08/2017(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 ... Read More
bank of russia

The Bank of Russia: Broker liquidity ratio to protect customer funds

28/08/2017(0)
The Bank of Russia is introducing an obligation under which brokers who use customer funds in their own interests must calculate the liquidity coverage ratio. The procedure for calculating ... Read More
ASIC_regulator

Big four banks in Australia change loan contracts to eliminate unfair terms

24/08/2017(0)
Following a commitment to further review their small business loan contracts, the big four banks have now agreed to specific changes with ASIC to eliminate unfair terms from their ... Read More
fraud - red stamp

Investment adviser charged with defrauding professional athlete and his wife

23/08/2017(0)
The Securities and Exchange Commission today charged investment adviser Jeremy Drake with defrauding two clients, a high profile professional athlete and the athlete’s wife, by deceiving them about the ... Read More
Broker Cyprus TopFX