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Regulators

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AFM fines financial consultancy firm for €2,000 per business day

01/12/2016(0)
On 9 November 2016, the Netherlands Authority for the Financial Markets (AFM) imposed an order for incremental penalty payments of €2,000 per business day on Alfred Sturz, trading under ... Read More
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Former CBOE Member to pay $21.8 Million in a Ponzi Scheme

01/12/2016(0)
CFTC Obtains $21.8 Million Default Judgment against Former CBOE Member Alvin Guy Wilkinson and his Connecticut-based Firms for Misappropriation of Customer Funds and Fraudulent Solicitation in Ponzi Scheme The ... Read More
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FINRA Sanctions Merrill Lynch $7 Million

01/12/2016(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith Inc. $6.25 million and the firm will pay approximately $780,000 in ... Read More
CySEC

CySec publishes information for CIFs in relation to retail investors under MiFID

30/11/2016(1)
The Cyprus Securities and Exchange Commission (CySec) has issued a Circular  to inform the Cyprus Investment Firms  (CIFs) that ESMA published on October 11, 2016, an updated version of ... Read More
ASIC_regulator

ASIC bans insurance broker director

30/11/2016(0)
ASIC has permanently banned Christopher John Griggs from providing financial services. Mr Griggs was the sole director of Chris Griggs Insurance Offices Pty Ltd, an insurance broker based in ... Read More
AMF logo

Binary options – AMF updates its list of illegally operating platforms

30/11/2016(0)
Once again, the Autorité des marchés financiers (the “AMF”) is sounding the alarm and alerting Québec consumers to the dangers of binary options. The AMF wishes to stress that ... Read More
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Mandatory online submission of individual licensing applications, notifications and annual returns

29/11/2016(0)
The Securities and Futures Commission (SFC) announced today that with effect from 1 February 2017, all individual applicants and licensees will be required to submit their licensing applications, notifications ... Read More
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FCA launches call for input on high-cost credit and overdrafts

29/11/2016(0)
Since taking over regulation of consumer credit in April 2014, the FCA has focused on products that it believes pose the highest risks to its consumer protection objective. One ... Read More
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CFTC Divisions Extend Time-Limited No-Action Relief from the Clearing and Trade Execution Requirements for Certain Affiliated Counterparties

29/11/2016(0)
The U.S. Commodity Futures Trading Commission’s (CFTC) Divisions of Clearing and Risk (DCR) and Market Oversight (DMO) today each extended previously-issued no-action relief from the clearing and trade execution ... Read More
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Australian Financial Services licence suspended for failing to lodge financial statements

29/11/2016(0)
ASIC has suspended the Australian Financial Services (AFS) licence of Sydney-based Group Underwriters & Managers Pty Ltd (GUM) for three months for failing to lodge financial statements, auditor reports ... Read More
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