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Regulators

insider trading 2

Hedge Fund Adviser Charged for Inadequate Controls to Prevent Insider Trading

22/08/2017(0)
The Securities and Exchange Commission announced that hedge fund advisory firm Deerfield Management Company L.P. has agreed to pay more than $4.6 million to settle charges that it failed ... Read More
ASIC_regulator

ASIC permanently bans jailed company director from credit and financial services industries

22/08/2017(0)
The Australian Securities and Investments Commission (ASIC) has issued today a press release to inform that Mr Gavin Keith Hyland has been permanently banned from engaging in credit activities or ... Read More
red Fraud-Stamp image

Individuals and their companies ordered to pay millions in restitution for defrauding investors

21/08/2017(0)
Federal Court Orders Jeffrey Slemmer, Christian Dorrian, Adam Roth, and Their Florida-Based Companies to Pay over $5.4 Million in Restitution and a Penalty in CFTC Precious Metals and Diamonds ... Read More
bank of russia

Bank of Russia reveals banking statistics

17/08/2017(0)
The Central Bank of the Russian Federation has issued an announcement to publish banking statistics for the first seven months of 2017. Banking sector expands loan portfolio and resource ... Read More
FCA-logo

UK’s financial regulator warns for unauthorised and clone firms

16/08/2017(0)
The Financial Conduct Authority (FCA), the UK’s financial regulator regulator for 56,000 financial services firms and financial markets in the UK and the prudential regulator for over 18,000 of ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announced the renouncement of a Cyprus Investment Firm’s license

11/08/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform that, on 9 June 2017, the CIF Lionsman Capital Markets (Cyprus) Ltd (‘the Company’), which provided ... Read More
FCA_regulator

Upper Tribunal upholds the FCA’s decision to fine and ban former CEO of adviser network

10/08/2017(0)
On 8 August 2017, the Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Charles Palmer, former CEO of Financial Limited and Investments Limited (“the Firms”), from ... Read More
Cyprus Securities and exchange commission (cysec)

CySec: Cyprus Investment Firm renounced its authorisation

09/08/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued today an announcement to inform that, on 1st August 2017, the CIF Reserve Invest (Cyprus) Ltd (‘the Company’), which provided ... Read More
esma (European Securities and Markets Authority)

ESMA updates on transaction reporting, order record keeping and clock synchronisation

09/08/2017(0)
The European Securities and Markets Authority (ESMA) has issued an update of its Guidelines on transaction reporting, order record keeping and clock synchronisation under the Markets in Financial Instruments ... Read More
European Banking Authority logo

European Banking Authority consults on fraud reporting requirements

08/08/2017(0)
The European Banking Authority (EBA) launched a public consultation on its draft Guidelines on reporting requirements on statistical data on fraud under the revised Payment Services Directive (PSD2). The ... Read More
Broker Cyprus TopFX