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Regulators

AMF logo

AMF publishes a study on behaviour of high-frequency traders (HFTs)

28/01/2017(0)
The Autorité des Marchés Financiers (AMF) has published a detailed analysis of the activity of market participants engaged in high-frequency trading (HFT) on CAC 40 stocks, with focus on ... Read More
cftc-logo

CFTC General Counsel Jonathan L. Marcus to Depart Agency

27/01/2017(0)
U.S. Commodity Futures Trading Commission (CFTC or Commission) Acting Chairman J. Christopher Giancarlo today announced that General Counsel Jonathan L. Marcus will depart the agency. Mr. Marcus joined the ... Read More
citigroup

Citigroup Paying $18 Million for Overbilling Clients

27/01/2017(0)
The Securities and Exchange Commission today announced that Citigroup Global Markets has agreed to pay $18.3 million to settle charges that it overbilled investment advisory clients and misplaced client ... Read More
SFC-logo-office

SFC reprimands and fines North Sea Securities Limited $700,000

26/01/2017(0)
The Securities and Futures Commission (SFC) has reprimanded North Sea Securities Limited (North Sea) and fined it $700,000 for failing to put in place proper controls to monitor and ... Read More
amf

AMF France introduced a new market surveillance

26/01/2017(0)
The Autorité des Marchés Financiers (AMF), ever determined to remain at the forefront of detecting market abuse and other violations, is launching an effort to modernise its monitoring system, ... Read More
Bcsc canada regulator

BCSC alleges former registrant and company sold securities illegally

26/01/2017(0)
The Executive Director of the British Columbia Securities Commission (BCSC) has issued a notice of hearing alleging that Prabhjot Singh Bakshi, a B.C. resident, and SBC Financial Group Inc. ... Read More
SFC - Hong Kong

SFC fined millions an asset management company for regulatory failures

25/01/2017(0)
SFC reprimands and fines Value Partners $4 million The Securities and Futures Commission (SFC) has reprimanded Value Partners Limited (VPL) and Value Partners Hong Kong Limited (VPHKL) (collectively, Value ... Read More
Securities Exchange Commission

SEC Announces $7 Million Whistleblower Award

25/01/2017(0)
The Securities and Exchange Commission today announced an award of more than $7 million split among three whistleblowers who helped the SEC prosecute an investment scheme. One whistleblower provided ... Read More
financial-services-malta-mfsa

MFSA warns for a website misleading public that is the authorised firm FXDD

25/01/2017(0)
The Malta Financial Services Authority (“MFSA”) has become aware of the website http://www.fxddtrade.com/ which is misleading the public by using a name which is similar to that of a ... Read More
citigroup-logo

CFPB Orders Citi Subsidiaries to Pay $28.8 Million

24/01/2017(0)
CFPB Orders Citi Subsidiaries to Pay $28.8 Million for Giving the Runaround to Borrowers Trying to Save Their Homes Mortgage Servicers Kept Borrowers in the Dark About Options, Demanded ... Read More
Broker Cyprus TopFX