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Regulators

esma (European Securities and Markets Authority)

ESMA assesses DLT’s potential and interactions with EU rules

08/02/2017(0)
The European Securities and Markets Authority (ESMA) has issued a report on Distributed Ledger Technology (DLT). The report sets out ESMA’s view on DLT, its possible applications, benefits, risks ... Read More
fma

FMA warns firms under Anti-Money Laundering and Countering Financing of Terrorism Act

08/02/2017(0)
The Financial Markets Authority (FMA) has issued a formal warning to 12 reporting entities under section 80 of the Anti-Money Laundering and Countering Financing of Terrorism Act (the Act). ... Read More
CySEC

CySec announced an administrative penalty to an AIFM

07/02/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued a press release to inform investors that, at its meeting held on December 19, 2016, decided to impose a total administrative ... Read More
FXCM-logo

FXCM and its founding partners ordered to pay a $7 Million Penalty

07/02/2017(0)
CFTC Orders Forex Capital Markets, LLC (FXCM), Its Parent Company, FXCM Holdings, LLC and FXCM’s Founding Partners, Dror Niv and William Ahdout, to Pay a $7 Million Penalty for ... Read More
ESMA logo

ESMA publishes 2017 Suprvision plan for CRAs, Trade Repositories and 3rd Country CCPs

06/02/2017(0)
The European Securities and Markets Authority (ESMA) has today published its Annual Report and Supervision Work Programmes (Report) setting out its main areas of supervisory focus for credit rating ... Read More
Royal Bank of Scotland

Royal Bank of Scotland to Pay $85 Million Penalty

06/02/2017(0)
CFTC Orders The Royal Bank of Scotland to Pay $85 Million Penalty for Attempted Manipulation of U.S. Dollar ISDAFIX Benchmark Swap Rates In Total, the CFTC Has Imposed $570 ... Read More
Securities Exchange Commission

SEC Charges Investment Adviser With Stealing Investor Funds

03/02/2017(0)
The Securities and Exchange Commission today charged a Connecticut-based investment advisory business and its owner with stealing money from investors to settle a private lawsuit among other misuses. The ... Read More
ESMA logo

ESMA updates Q&A on MiFID II implementation and EMIR

03/02/2017(0)
The European Securities and Markets Authority (ESMA) has published an update of its Q&A on practical questions regarding the European Markets Infrastructure Regulation (EMIR) and an updated Q&As document ... Read More
ecb-exchange-rate-impact-1

European Central Banks reports on Euro banknote counterfeiting

02/02/2017(0)
353,000 counterfeit euro banknotes were withdrawn from circulation in the second half of 2016 Around 80% of the counterfeits were €20 and €50 banknotes All euro banknotes can be ... Read More
fca-building

FCA and PRA publish final changes to enhance enforcement decision-making processes

01/02/2017(0)
The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have today published final changes in a Policy Statement (PS) aimed at strengthening the transparency and effectiveness of ... Read More
Broker Cyprus TopFX