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Regulators

bank-of-italy

Foreign Exchange and OTC Derivatives Market Turnover in Italy

28/11/2016(0)
In April 2016 the Bank of Italy conducted the customary triennial survey of the volume of foreign exchange and OTC derivatives market transactions carried out by the major resident ... Read More
Monetary-Authority-of-Singapore

Masterminds behind largest market manipulation case in Singapore charged

28/11/2016(0)
Soh Chee Wen, also known as John Soh (Soh), and Quah Su-Ling (Quah) have today been charged for orchestrating a massive fraud to manipulate the market for the shares ... Read More
ASIC_regulator

ASIC launches new digital toolkit to help Australians navigate financial advice

28/11/2016(0)
A new online toolkit developed by ASIC’s MoneySmart will enable Australians to better understand and navigate the financial advice process. ASIC’s MoneySmart Financial Advice Toolkit is a free educational ... Read More
Bank of Japan building

Bank of Japan published Overview of the Tokyo Money Market Survey

25/11/2016(0)
Introduction The Financial Markets Department of the Bank of Japan (the Bank) has conducted the Tokyo Money Market Survey since 2008 to understand developments in the Japanese money market. ... Read More
CySEC

CySec suspends the license of a Cyprus Investment Firm

24/11/2016(0)
The Cyprus Securities and Exchange Commission (‘CySEC’) announces that the authorisation of the Cyprus Investment Firm ‘PFX Financial Professionals Ltd’ (‘the Company’), with number 193/13, is suspended, pursuant to ... Read More
FCA_regulator

FCA charges sixth defendant in alleged investment fraud

24/11/2016(0)
The Financial Conduct Authority (FCA) UK has issued an announcement to inform that following an investigation of the Authority, Charanjit Sandhu (DOB: 03/12/1989) of Grays, Essex, appeared today before ... Read More
ASIC_regulator

ASIC updates licence conditions on Morgans Financial Limited

24/11/2016(0)
ASIC and Morgans Financial Limited (Morgans) have agreed for an independent compliance consultant to monitor, evaluate and report on Morgan’s implementation of recommendations arising from an independent review of ... Read More
Consob-logo

CONSOB Italy warns for Alfatrade

23/11/2016(0)
The Commissione Nazionale per le Società e la Borsa (CONSOB), the regulatory authority of Italy, has issued a warning to inform public and investors for companies not authorised to provide investment ... Read More
finra1

FINRA fines investment firm for $3.4 Million

23/11/2016(0)
FINRA Sanctions Oppenheimer & Co. $3.4 Million for Reporting Violations, Failing to Comply With Discovery Obligations in Arbitrations, and Other Supervisory Failures The Financial Industry Regulatory Authority (FINRA) announced ... Read More
ASIC_regulator

Relief for foreign financial service providers from Luxembourg

22/11/2016(0)
ASIC has extended its relief for foreign financial service providers (FFSPs) from the requirement to hold an Australian financial services (AFS) licence when providing financial services to Australian wholesale ... Read More
Broker Cyprus TopFX