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Regulators

Consob-logo

CONSOB issued warnings against financial trading firms

28/12/2016(0)
The National Commission for Companies and the Stock Exchange (CONSOB), Italy’s financial regulator, has issued warnings to inform investors and public regarding financial trading firms not authorised to provide ... Read More
Securities Exchange Commission

Chinese Traders Charged With Trading on Hacked Nonpublic Information Stolen From Two Law Firms

28/12/2016(0)
Marks First Time SEC Charges Hacking Into Law Firm Computer Networks The Securities and Exchange Commission today charged three Chinese traders with fraudulently trading on hacked nonpublic market-moving information ... Read More
CySEC

CySec decided to impose a €100.000 administrative fine to a Cyprus Investment Firm

27/12/2016(0)
The Board of the Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform the public that, at the meeting held on 28 November 2016, it decided ... Read More
SFC-logo-office

SFC issues further guidance on suitability obligations

27/12/2016(0)
The Securities and Futures Commission (SFC) today issued further guidance in the form of two circulars on the existing suitability obligations (Note 1) of licensed or registered persons when ... Read More
ESMA logo

ESMA identifies areas for improvemnet in EU CCP supervision

23/12/2016(0)
The European Securities and Markets Authority (ESMA) has presented today the results of a peer review, it conducted into how national competent authorities (NCAs) ensure that central counterparties (CCPs) ... Read More
Securities Exchange Commission

SEC Charges Operators of Fake Day-Trading Firm With Defrauding Inexperienced Investors

22/12/2016(0)
The Securities and Exchange Commission today charged two men behind a phony day-trading firm with pocketing more than $1.4 million in deposits from hundreds of defrauded investors worldwide. The ... Read More
cftc-logo

CFTC Orders Goldman Sachs to Pay $120 Million Penalty for Attempted Manipulation

22/12/2016(0)
The U.S. Commodity Futures Trading Commission (CFTC) issued an Order today filing and settling charges against The Goldman Sachs Group, Inc., and Goldman, Sachs & Co. (collectively, Goldman or ... Read More
cftc-logo

Individual and his company charged in a commodity futures and Forex Ponzi-Style Scheme

21/12/2016(0)
The U.S. Commodity Futures Trading Commission (CFTC) filed a civil anti-fraud enforcement action in the U.S. District Court for the District of Arizona, charging Defendants Derek Springfield and his ... Read More
bank-fines

COMCO fines banks for participating in the EURIBOR cartel

21/12/2016(0)
The Competition Commission (COMCO) has closed its investigation against certain banks related to interest rate derivatives in euro with an amicable settlement and imposes total fines of approximately CHF ... Read More
cftc-logo

Trader and a trading company ordered to pay $2.5 Million Penalty

21/12/2016(0)
Federal Court Orders Chicago Trader Igor B. Oystacher and 3Red Trading LLC to Pay $2.5 Million Penalty for Spoofing and Employment of a Manipulative and Deceptive Device, while Trading ... Read More
Broker Cyprus TopFX