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Regulators

esma (European Securities and Markets Authority)

ESMA clarifies traded on a trading venue under MIFID II

22/05/2017(0)
Legal basis ESMA’s competence to deliver an opinion to competent authorities is based on Article 29(1)(a) of Regulation (EC) No 1095/2010 of the European Parliament and of the Council ... Read More
The facade of the U.S. Federal Reserve building is reflected on wet marble during the early morning hours in Washington

Federal Reserve imposes $1.2 million fine and permanent ban on employment against former Barclays Bank PLC employee

22/05/2017(0)
The Federal Reserve Board on Friday announced that it has imposed a $1.2 million fine and a permanent ban on employment in the banking industry against Christopher Ashton, the ... Read More
sec

SEC Charges Fake Filer With Manipulating Fitbit Stock

22/05/2017(0)
The Securities and Exchange Commission today filed fraud charges against a Virginia-based mechanical engineer accused of scheming to manipulate the price of Fitbit stock by making a phony regulatory ... Read More
SFC-logo-office

Appointments and re-appointments to SFC Advisory Committee

20/05/2017(0)
The Securities and Futures Commission (SFC) welcomes the appointment and re- appointment by the Financial Secretary of members to the SFC Advisory Committee for two years from 1 June ... Read More
esma regulator

ESMA finds improvements in Regulators’ supervisory practices concerning MiFID rules

19/05/2017(0)
The European Securities and Markets Authority (ESMA) has published a Follow-up Report on the actions undertaken by ten National Competent Authorities (NCAs) in addressing deficiencies identified in the 2014 ... Read More
ASIC_regulator

ASIC accepts enforceable undertaking from Macquarie Bank to address inadequacies within their wholesale FX businesses

19/05/2017(0)
ASIC has today accepted an enforceable undertaking (EU) from Macquarie Bank Limited in relation to the bank’s wholesale foreign exchange (FX) businesses, following an ASIC investigation. ASIC is concerned ... Read More
CySEC

Cyprus Investment Firm renounced its authorisation

18/05/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued today an announcement to inform that a Cyprus Investment Firm renounced its authorisation. According CySec’s announcement, on 27th April 2017, ... Read More
CySEC

CySec informs Cyprus Investment Firms about the German and Spanish regulators restrictions for trading CFDs

18/05/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued two important Circulars to inform Cyprus Investments Firms about the recent announcements of the German Federal Financial Supervisory Authority (BaFin) ... Read More
FCA-logo

UK investment management firm with approximately 3000 customers entered the SAR insolvency proceedings

18/05/2017(0)
Strand Capital Limited (Strand), an investment management firm, formally entered the Special Administration Regime (SAR) insolvency proceedings on 17 May 2017. Having reached an assessment that it was no ... Read More
cftc-logo

CFTC’s Division of Clearing and Risk Extends No-Action Relief for Shanghai Clearing House

17/05/2017(0)
The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Clearing and Risk (DCR) today issued a no-action letter extending the relief provided to the Shanghai Clearing House (SHCH) in ... Read More
Broker Cyprus TopFX