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Regulators

ASIC_regulator

ASIC permanently bans former financial planner

22/03/2017(0)
ASIC has permanently banned Daniel Peter Logan from providing financial services, after finding that he engaged in dishonest conduct and failed to comply with a financial services law. Daniel ... Read More
fca-building

FCA UK announced appointment of a Non-Executive Director

21/03/2017(0)
The appointment, made by HM Treasury, is for an initial three year term starting 1 April 2017. Welcoming the appointment, FCA Chairman John Griffith-Jones said: “One of the FCA’s ... Read More
ESMA logo

ESMA to cooperate with non-EU Regulators on CCPs

21/03/2017(0)
The European Securities and Markets Authority (ESMA) has established five Memoranda of Understanding (MoUs) under the European Markets Infrastructure Regulation (EMIR). The MoUs establish cooperation arrangements, including the exchange ... Read More
CySEC

CySec suspends the license of a Cyprus Investment Firm

20/03/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform investors and public that the authorisation of the Cyprus Investment Firm Boursotrade Ltd (‘the Company’), number 235/14, ... Read More
finra-hdqrtrs_0

FINRA warns for Binary Options Follow-Up Schemes

18/03/2017(0)
The Financial Industry Regulatory Authority (FINRA) today issued an Investor Alert warning anyone involved in binary options trading through unregistered non-U.S. companies to be on guard for a one-two ... Read More
Jersey Financial Services Commission

JFSC launches Jersey Private Fund Guide

17/03/2017(0)
JFSC launches Jersey Private Fund Guide to modernise Island’s funds regime The Jersey Financial Services Commission (JFSC) has today introduced the Jersey Private Fund (JPF) Guide, setting out the ... Read More
Bank of England

Bank of England announced Bank Rate held at 0.25%

17/03/2017(0)
The Bank of England’s Monetary Policy Committee (MPC) sets monetary policy to meet the 2% inflation target, and in a way that helps to sustain growth and employment.  At ... Read More
CySEC

CySec informs on offering bonuses to retail investors

16/03/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued a Circular to provide additional guidance on the types of bonus incentives not permissible to be offered to retail clients ... Read More
SFC-logo-office

SFC reprimands and fines DBS Vickers (Hong Kong) Limited $2 million

16/03/2017(0)
The Securities and Futures Commission (SFC) has reprimanded DBS Vickers (Hong Kong) Limited (DBSVHK) and fined it $2 million for regulatory breaches and internal control failings relating to under-segregation ... Read More
Broker Cyprus TopFX