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Regulators

Austrian-FMA

The FMA warns: the number of dubious providers in the Austrian financial market remains high

07/06/2017(0)
Austria’s independent, autonomous and integrated supervisory and resolution authority FMA informs in relation to Austrian financial market Investor Warnings issued. According the announcement: In 2016, the FMA initiated a total ... Read More
ASIC_regulator

ASIC Cancels the Financial Services License of a Firm

07/06/2017(0)
ASIC has cancelled the Australian financial services (AFS) licence of Sydney based company Investment Advisers Alliance Pty Limited (AFS 237902) for failing to lodge its financial statements and auditor’s ... Read More
Anti Money Laundering

Brokerage Firm Charged With Failing to Comply With Anti-Money Laundering Laws

06/06/2017(0)
The Securities and Exchange Commission (SEC) has issued an announcement to inform that the Commission charges a Salt Lake City-based brokerage firm with securities law violations related to its alleged ... Read More
cftc-logo

CFTC charged Tallinex with Fraud and Failure to Register as a Retail Forex Dealer

06/06/2017(0)
CFTC Charges Estonian Company Tallinex with Fraud and Failure to Register as a Retail Foreign Exchange Dealer and Nevada Company General Trader Fulfillment with Failure to Register as an ... Read More
CySEC

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

02/06/2017(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 a ... Read More
finra-hdqrtrs_0

FINRA Bars Former Morgan Stanley Registered Representative

02/06/2017(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has barred former Morgan Stanley Smith Barney registered representative John Batista Bocchino for concealing approximately $190 million in Venezuelan ... Read More
financial-services-malta-mfsa

Malta’s regulator suspends fund’s license

01/06/2017(0)
Malta Financial Services Authority (MFSA) announced an administrative measure against MCM Global Opportunities Fund SICAV plc. According the announcement: On 24 May 2017, the Malta Financial Services Authority (“the ... Read More
ASIC_regulator

Court orders winding up of Macro Group companies

31/05/2017(0)
The Federal Court of Australia has ordered that Macro Realty Developments Pty Ltd, Macro Realty Developments AFSL Pty Ltd, Macro All State Investments and Securities Ltd, Pilbara Property Developments ... Read More
cftc-logo

K.B. Concepts Group and its Owner Fined For Illegal, Off-Exchange Precious Metals Transactions

31/05/2017(0)
Federal Court in Florida Orders K.B. Concepts Group, LLC and Kelvin Burgos to Pay More than $486,300 in Disgorgement and a Civil Monetary Penalty for Engaging in Illegal, Off-Exchange ... Read More
esma regulator

ESMA Updates its MAR Q&As

30/05/2017(0)
The European Securities and Markets Authority (ESMA) has updated today its Q&A on practical questions regarding the implementation of the Market Abuse Regulation (MAR). The updated Q&As include new ... Read More
Broker Cyprus TopFX