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Regulators

Belize

IFSC warns that XMAXBIT posted forged company certificate

22/11/2016(0)
The International Financial Services Commission of Belize (IFSC) has issued a warning to inform that: It has come to the notice of the International Financial Services Commission of Belize ... Read More
SFC - Hong Kong

SFC bans individual for one year and fines him $150,000

21/11/2016(0)
The Securities and Futures Commission (SFC) has prohibited Mr Benedict Ku Ka Tat, a former employee of The Pride Fund Management Limited, from re-entering the industry for one year ... Read More
ASIC_regulator

ASIC commences civil penalty proceedings against State One Stockbroking

21/11/2016(0)
ASIC has commenced civil penalty proceedings against State One Stockbroking Ltd (State One) in the Federal Court of Australia in Perth for failing to comply with two ASIC Market ... Read More
nova-scotia-binary-regulator

Canadian Regulator warns for Binary Options provider

21/11/2016(0)
The Canadian Regulator Nova Scotia Securities Commission has issued a warning to inform investors and public regarding Magnum Options, which is offering binary options via an online trading platform ... Read More
ASIC_regulator

ASIC bans former AMP Financial Planning representative from providing financial services for eight years

18/11/2016(0)
ASIC has banned Mr James Edward McCarthy, a financial adviser from South Australia, from providing financial services until 14 November 2024. Mr McCarthy is the sole director of McCarthy ... Read More
Securities Exchange Commission

JPMorgan Chase Paying $264 Million to Settle FCPA Charges

18/11/2016(0)
The Securities and Exchange Commission today announced that JPMorgan Chase & Co. has agreed to pay more than $130 million to settle SEC charges that it won business from ... Read More
CySEC

CySec issued a new warning regarding individuals impersonating CySec representatives

17/11/2016(0)
Following up on its announcements dated 27 November 2015, 10 June 2016 and 19 October 2016, the Cyprus Securities and Exchange Commission (CySec) would like to remind investors and the general ... Read More
cftc-logo

Forex broker fined for more than $35 Million

17/11/2016(0)
Federal Court Orders IB Capital FX, LLC, Michel Geurkink, and Emad Echadi to Pay More than $35 Million in Restitution and a Civil Penalty for Soliciting at Least $50 ... Read More
esma regulator

ESMA Publishes Updated AIFMD Q&A

16/11/2016(0)
The European Securities and Markets Authority (ESMA) has published an updated questions and answers document (Q&A) on the application of the Alternative Investment Fund Managers Directive (AIFMD). The Q&A ... Read More
ASIC_regulator

CommSec pays $200,000 in infringement notice penalty

16/11/2016(0)
Commonwealth Securities Limited (“CommSec”) has paid a penalty of $200,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (“MDP”). The MDP had reasonable grounds ... Read More
Broker Cyprus TopFX