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Regulators

CySEC

CySec announced the suspension and commencement of proceedings for the possible withdrawal of an ASP license

20/12/2016(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform that the Administrative Services provider authorisation of Blaustein Corporate Services Ltd (‘the Company’), with number 171/196, ... Read More
CySEC

CySec announced Continuance of suspension and commencement of proceedings for the possible withdrawal of a CIF license

20/12/2016(0)
Following the announcement dated 29th September 2016, the Cyprus Securities and Exchange Commission (CySec), after a decision at the meeting dated 28th November 2016, announces that the authorisation of ... Read More
cftc-logo

CFTC Orders Convergent Wealth Advisors LLC to Pay an $800,000

20/12/2016(0)
CFTC Orders Convergent Wealth Advisors LLC to Pay an $800,000 Civil Monetary Penalty for Fraudulent Omissions and False Statements in Connection with an Employee’s Commodity Pool David Zier made ... Read More
Securities Exchange Commission

SEC Charges Three Individuals and Broker-Dealer With Violating Market Structure Rules

19/12/2016(0)
The Securities and Exchange Commission today announced settled cease-and-desist proceedings against the CEO of a Utah-based broker-dealer and two registered persons associated with the firm for causing the firm’s ... Read More
Deutsche Bank logo

FINRA Fines Deutsche Bank $3.25 Million

19/12/2016(0)
FINRA Fines Deutsche Bank $3.25 Million for Deficient Disclosures Concerning the Operation of Its Alternative Trading System The Financial Industry Regulatory Authority (FINRA) announced today that it has fined ... Read More
CySEC

CySec approves two new Administrative Services Providers

19/12/2016(0)
The Cyprus Securities and Exchange Commission (CySec) has issued announcements to inform that the Commission has approved two new firms as Administrative Services Provider (ASP). According the announcements, the below firms ... Read More
Bcsc canada regulator

BCSC warns about an online Forex trading provider

19/12/2016(0)
The British Columbia Securities Commission (BCSC) has issued warnings to inform public and investors about online Forex trading provider StoxMarket, owned and operated by Marketier Holdings Limited (together, the Parties). StoxMarket claims to ... Read More
ESMA logo

ESMA updates MiFID II Q&A on Investor Protection

19/12/2016(0)
The European Securities and Markets Authority (ESMA) has added new Q&As to its Questions and Answers (Q&A) document on the implementation of investor protection topics under the Market in ... Read More
Bank of Greece

Central Bank of Greece forecast a strengthening of growth for 2017

16/12/2016(0)
Today, in accordance with its Statute, the Bank of Greece submitted its Interim Report on Monetary Policy 2016 to the Speaker of the Greek Parliament and the Cabinet. Progress ... Read More
ASIC_regulator

ASIC charges GAIN Capital employee with dishonest use of his position

16/12/2016(0)
Following an ASIC investigation, Mr Shun Yuen Ken Li (also known as Leo Lee), of Roseville Chase, New South Wales has pleaded guilty in the Downing Centre Local Court ... Read More
Broker Cyprus TopFX