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Regulators

FCA_regulator

Why free trade and open markets in financial services matter; Andrew Bailey, FCA Chief Executive

11/07/2017(0)
The Financial Conduct Authority (FCA), the conduct regulator for financial services firms and financial markets in the UK, has released a speech by Andrew Bailey, Chief Executive of the ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announced a total fines of €195,000 on directors of a Cyprus Investment Firm

10/07/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has today announced a series of financial penalties on the directors of Falcon Brokers Limited (www.new.falconbrokers.com; the “Company”), and has banned all ... Read More
ESAs

European Supervisory Authorities publish Q&A on the Key Information Document (KID)

05/07/2017(0)
The Joint Committee, European Supervisory Authorities (ESAs), a forum with the objective of strengthening cooperation between the European Banking Authority (EBA), the European Insurance and Occupational Pensions Authority (EIOPA) ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announced settlement with a Cyprus Investment Firm for possible violations of the Law

05/07/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to make publish its decision about reach a settlement with a Cyprus Investment Firm (CIF). According the announcement: CySec, ... Read More
Cyprus Securities and exchange commission (cysec)

CySec released that a new Cyprus Investment Firm got the CIF license

04/07/2017(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
SFC-logo-office

QMIS Securities Limited and former responsible officer convicted of giving SFC false or misleading information

03/07/2017(0)
The Eastern Magistrates’ Court has convicted QMIS Securities Limited (QMIS) and its former responsible officer (RO), Mr Huang Kuang Cheng, of making false or misleading representations when submitting licensing ... Read More
cftc

DV Trading ordered to pay a $5 Million penalty

30/06/2017(0)
CFTC Orders Rosenthal Collins Capital Markets LLC, Now Known as DV Trading LLC, to Pay a Civil Penalty of $5 Million for Engaging in Illegal Wash Sales Designed to ... Read More
onestopbrokers-Regulators

Regulators release conclusions on the OTC derivatives regulatory regime

28/06/2017(0)
The Hong Kong Monetary Authority (HKMA) and the Securities and Futures Commission (SFC) today published conclusions on a joint consultation paper which proposed adjusting the scope of “OTC derivative ... Read More
ASIC_regulator

ASIC commences proceedings against former managing director of Banksia Securities Limited

27/06/2017(0)
ASIC has commenced civil penalty proceedings in the Federal Court of Australia in Melbourne against Patrick John Godfrey, former managing director of Banksia Securities Limited (In Liquidation) (Receivers and ... Read More
cftc-logo

Wall Street Pirate Management and its owner banned and to pay $125,000

27/06/2017(0)
Federal Court in New York Imposes Permanent Registration and Trading Bans against Defendants Gary Creagh and His Company, Wall Street Pirate Management, LLC, and Orders Them to Pay a ... Read More
Broker Cyprus TopFX