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Regulators

onestopbrokers-Regulators

Unauthorised financial services companies around the world are reported

23/02/2017(0)
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Spain (Comisión Nacional del Mercado de Valores – CNMV), Ireland (Central Bank of Ireland), Austria (Financial Market ... Read More
esma regulator

ESAS warn on Money Laundering and Terrorist Financing risks affecting the EU financial sector

22/02/2017(0)
The three European Supervisory Authorities (EBA, EIOPA and ESMA – ESAs) published a Joint Opinion addressed to the European Commission on the risks of money laundering (ML) and terrorist ... Read More
FCA_regulator

FCA UK warns for FX Jupiter

22/02/2017(0)
The Financial Conduct Authority (FCA) has issued a warning to inform investors and public that fraudsters are using the details of firms the FCA authorises to try to convince ... Read More
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Dutch regulator AFM prepares advertising prohibition on Binary Options, Forex and CFDs

21/02/2017(2)
The Dutch regulator, Financial Markets Authority (AFM), has issued an announcement to inform that it starts a consultation period for responds in relation to proposed changes in advertisement of ... Read More
Warning

IFSC issued a warning against TitanTrade

21/02/2017(0)
The International Financial Services Commission (IFSC) of Belize has issued a warning notice to inform investors and public for a company not authorised to provide trading business in Belize. ... Read More
SFC-logo-office

Former investment firm CEO convicted of unlicensed dealing

20/02/2017(0)
The Eastern Magistrates’ Court today convicted Mr Chiang Ching Fung, former chief executive officer of Gold Root Global Investments Limited (GRG Investments), of unlicensed dealing in futures contracts in ... Read More
ASIC_regulator

Share Investing pays $130,000 in infringement notice penalty

20/02/2017(0)
Share Investing Limited (“Share Investing”) has paid a penalty of $130,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (“MDP”). The MDP had reasonable ... Read More
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Express Gifts Ltd enters into £12.5m redress scheme

18/02/2017(0)
The insurance products sold by Express Gifts Ltd covered against accidental damage and theft for all products purchased from their Ace or Studio brands. The insurance was called “Property ... Read More
ASIC_regulator

ASIC released a consultation paper about ASIC Class Order Reporting requirements

17/02/2017(0)
ASIC today released a consultation paper proposing to remake ASIC Class Order Reporting requirements under s989B. This is due to expire (‘sunset’) on 1 October 2017. This ... Read More
FCA_regulator

FCA reports on new evidence on liquidity in the UK corporate bond market

16/02/2017(0)
The Finacial Conduct Authority (FCA) of UK, has issued a press release to inform regarding new data for the liquidity in the UK’s corporate bond market over the past ... Read More
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