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Regulators

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The Securities and Futures Commission bans former employee of HSBC for life

13/02/2017(0)
The Securities and Futures Commission (SFC) has banned Ms Li Lee, a former employee of The Hongkong and Shanghai Banking Corporation Limited (HSBC), from re-entering the industry for life ... Read More
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SEC is freezing brokerage accounts holding more than $29 million in illegal profits

13/02/2017(0)
SEC Charges Chinese Citizens Who Reaped Massive Profits From Insider Trading on Comcast-Dreamworks Acquisition Obtains Court Order Freezing More Than $29 Million in U.S. Accounts The Securities and Exchange ... Read More
FCA_regulator

FCA UK warns about the firm STP Markets

10/02/2017(0)
FCA UK has issued a press release to inform that the below firm has been providing financial services or products in the UK without its authorisation. Almost all firms ... Read More
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Oden Capital Management ordered to Pay a $100,000 Penalty

10/02/2017(0)
CFTC Orders John B. Oden and His Company, Oden Capital Management, LLC, to Pay a $100,000 Penalty for Failure to Register with the CFTC and Failure to Comply with ... Read More
SFC - Hong Kong

SFC reprimands and fines GMO-Z.com Forex HK Limited $1.6 million

09/02/2017(1)
The Securities and Futures Commission (SFC) has reprimanded and fined GMO-Z.com Forex HK Limited (GMOHK) $1.6 million for deficiencies in its order execution and slippage handling procedures, and failures ... Read More
Reserve Bank of New Zealand

The Reserve Bank of New Zealand left the Official Cash Rate unchanged

09/02/2017(0)
The Reserve Bank of New Zealand has issued a Monetary Policy Statement for February 2017 to inform for its decision to keep the Official Cash Rate (OCR) unchanged at ... Read More
CySEC

CySec has approved a new Administrative Services Provider

08/02/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform that the Commission has approved a new firm as Administrative Services Provider (ASP). According the announcements, ... Read More
FCA_regulator

FCA opens discussion on regulatory approach to open-ended funds investing in illiquid assets

08/02/2017(0)
The Financial Conduct Authority (FCA) has today published a Discussion Paper (‘Paper’), which seeks stakeholder views on the practice of investing in illiquid assets through open-ended funds and the ... Read More
fma

FMA warns against OptionsXO

08/02/2017(0)
The Financial Markets Authority (FMA) of New Zealand has issued a warning to inform investors and public in relation of conducting business with OptionsXO http://www.optionsxo.com/. AS FMA reports, the ... Read More
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IOSCO analyzes potential of tech-driven change in the securities market industry

08/02/2017(0)
The International Organization of Securities Commissions (IOSCO) has issued today a press release to pubilsh a report regarding the potential of tech-driven change in the securities market industry. Below ... Read More
Broker Cyprus TopFX