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Regulators

ASIC_regulator

UBS Securities pays penalties

15/06/2017(0)
UBS Securities pays $280,000 in infringement notice penalties UBS Securities Australia Limited (‘UBS’) has paid penalties totalling $280,000 to comply with two infringement notices given to it by the ... Read More
ESMA logo

ESMA issues Risk Dashboard for first Quarter of 2017

14/06/2017(0)
The European Securities and Markets Authority (ESMA) has issued today its most recent iteration of its Risk Dashboard, covering risks in the EU’s securities markets for 1Q2017. ESMA’s overall ... Read More
cftc-logo

NAAM and its owner to pay more than $1.6 million in illegal precious metals transactions

14/06/2017(0)
Federal Court Orders Florida-Based North American Asset Management, LLC, Alexi Bethel, and Steven Labadie to Pay More than $1.6 Million in Restitution and a Civil Monetary Penalty for Engaging ... Read More
global-forex-fx-trading-market-singapore-china-uk-swaps

Forex provider restricted to carry on all activities for which it is licensed

13/06/2017(0)
The Securities and Futures Commission (SFC) today issued a Restriction Notice on IDS Forex HK Limited prohibiting the firm from carrying on all activities for which it is licensed, ... Read More
esma (European Securities and Markets Authority)

ESMA Issues Positive Opinion on Short Selling Ban by Spanish CNMV

12/06/2017(0)
The European Securities and Markets Authority (ESMA) has issued an official opinion agreeing to an emergency short selling prohibition, for a period of one month, by the Comisión Nacional ... Read More
red Fraud-Stamp image

CFTC Charged a Company and its Owner in a More than $11 Million Trading Futures fraud scheme

09/06/2017(0)
CFTC Charged Seattle Residents Sung Hong a/k/a Lawrence or Laurence Hong, Hyun Joo Hong a/k/a Grace Hong, and Her Company Pishon Holding LLC with Fraudulently Soliciting More than $11 ... Read More
ASIC_regulator

Citigroup Global Markets Australia pays $50,000 in infringement notice penalty

09/06/2017(0)
Citigroup Global Markets Australia Pty Ltd (‘Citigroup’) has paid a penalty of $50,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (‘MDP’). The ... Read More
CySEC

CySec has imposed fines in a collective sum of €405,000 on a number of directors and relevant persons of CommexFX

08/06/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued today a press release to inform about its decision to impose a series of financial penalties on a number of ... Read More
esma (European Securities and Markets Authority)

ESMA appoints new chair of the Investment Management Standing Committee

08/06/2017(0)
The Board of Supervisors of the European Securities and Markets Authority (ESMA) has appointed Martin Moloney, Head of Markets Policy Division of the Central Bank of Ireland to serve ... Read More
ASIC_regulator

Former financial planner of Westpac banned for five year

08/06/2017(0)
ASIC has banned Mr Sudhir Kumar Sinha, a financial planner from Western Australia, from providing financial services until 2 June 2022. Mr Sinha was an employed representative of Westpac ... Read More
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