Advertise With Us
Sign up for our Newsletter
Join Our Directory
Open an Account

Regulators

cftc-logo

CFTC Orders CNCGC Hong Kong Ltd. to Pay a $150,000 Penalty

18/01/2017(0)
On 53 occasions, CNCGC HK failed to file required Form 304 reports, and on two occasions the firm filed late Form 304 reports The U.S. Commodity Futures Trading Commission ... Read More
Securities Exchange Commission

10 investment advisory firms have agreed to pay penalties to settle charges

18/01/2017(0)
10 Firms Violated Pay-to-Play Rule By Accepting Pension Fund Fees Following Campaign Contributions The Securities and Exchange Commission today announced that 10 investment advisory firms have agreed to pay ... Read More
CySEC

CySec informs that domains/websites were inadvertently included in past warning for unauthorized domains/websites

17/01/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform the investors and the public at large that the domains www.aaafx.com, www.zulutrade.com,1 www.admiralmarkets.com2 and www.yesfx.com.cy3 were ... Read More
esma regulator

ESMA issues breifing on tranaction reporting requirements under MIFID II

17/01/2017(0)
Toward the end of 2016, ESMA published guidelines for transaction reporting under the Markets in Financial Instruments Directive (MiFID II) and Regulation(MiFIR). Additionally, ESMA released technical requirements and templates ... Read More
cftc-logo

CFTC Grants Order to LCH.Clearnet Limited

17/01/2017(0)
CFTC Grants Order to LCH.Clearnet Limited Permitting Portfolio Margining of Customer Positions in Futures, Foreign Futures, and Cleared Swaps The U.S. Commodity Futures Trading Commission (CFTC) today issued an ... Read More
ASIC_regulator

Pershing Securities pays $40,000 in infringement notice penalty

16/01/2017(0)
Pershing Securities Australia Pty Ltd (“Pershing”) has paid a penalty of $40,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (“MDP”). The MDP had ... Read More
fca-building

Two sentenced to imprisonment suspended in insider dealing case

16/01/2017(0)
In a prosecution brought by the Financial Conduct Authority (FCA) Manjeet Mohal, a former employee of Logica Plc, has today been sentenced to 10 months imprisonment suspended for two ... Read More
CySEC

CySec announced revocation of decision regarding IQ Option Europe

16/01/2017(0)
Following the announcement dated September 30 regarding the decision of the Cyprus Securities and Exchange Commission (CySec) dated September 05 to impose an administrative penalty to the CIF IQ ... Read More
Securities Exchange Commission

Morgan Stanley to pay a $13 million penalty

16/01/2017(0)
The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney has agreed to pay a $13 million penalty to settle charges that it overbilled investment advisory clients ... Read More
Securities Exchange Commission

BNY Mellon has agreed to pay a $6.6 million penalty

13/01/2017(0)
The Securities and Exchange Commission today announced that BNY Mellon has agreed to pay a $6.6 million penalty to settle charges stemming from miscalculations of its risk-based capital ratios ... Read More
Broker Cyprus TopFX