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Regulators

FCA_regulator

FCA UK sets out scope of Investment Platforms Market Study

17/07/2017(0)
The Financial Conduct Authority (FCA) has today published the Terms of Reference for the Investment Platforms Market Study, which sets out the scope and topics that will be covered. ... Read More
ASIC_regulator

ASIC takes action to wind up land banking scheme and its operator

17/07/2017(1)
ASIC has commenced proceedings in the Federal Court of Australia to wind up a land banking scheme known as the VKK Investments Unit Trust (VKK scheme), as well as ... Read More
Cyprus Securities and exchange commission (cysec)

CySec suspends the license of a Cyprus Investment Firm

14/07/2017(0)
The Cyprus Securities and Exchange Commission (CySec) announces that the authorisation of the Cyprus Investment Firm OptionRally Financial Services Ltd (‘the Company’), number 220/13, is suspended, pursuant to section ... Read More
forex scam

Cold calling scams defrauded more than one hundred victims

13/07/2017(0)
SEC Announces Charges in Massive Telemarketing Boiler Room Scheme Targeting Seniors The Securities and Exchange Commission today brought fraud charges against 13 individuals allegedly involved in two Long Island-based ... Read More
Cyprus Securities and exchange commission (cysec)

CySec: Two firms authorised as Administrative Services Providers

13/07/2017(0)
The Cyprus Securities and Exchange Commission (CySec) released today announcements to inform that the firms Wise Wolves Capital (EU) Ltd and KHGP Ltd (ex Hoijer Ltd) approved by the Commission as Administrative ... Read More
ESMA logo

ESMA publishes new G&A on Alternative Performance Measures Guidelines

13/07/2017(0)
The European Securities and Markets Authority (ESMA) has published four new questions in its Questions and Answers (Q&A) document, on the implementation of its Guidelines on the Alternative Performance ... Read More
afm-large

Dutch Authority for the Financial Markets fined a company for market manipulation

12/07/2017(0)
The Dutch Authority for the Financial Markets (AFM) has imposed an administrative fine of € 10,000 on the Spanish company Lexon Capital S.L. (Lexon). The fine was imposed because ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announced CIF license authorization for a Cyprus Investment Firm

12/07/2017(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
cftc-logo

Assurance Capital Management and its owners fined $2.4 Million

12/07/2017(0)
The U.S. Commodity Futures Trading Commission (CFTC) has issued a press release to inform that the Federal Court in Florida Orders Anthony J. Klatch II, Lindsey Heim, and their ... Read More
esma (European Securities and Markets Authority)

ESMA Proposes Simplification for Prospectus

11/07/2017(0)
The European Securities and Markets Authority (ESMA) is publishing three Consultation Papers (CP) on the Prospectus Regulation. The Prospectus Regulation, in the context of the Capital Markets Union action ... Read More
Broker Cyprus TopFX