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Regulators

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Court of Final Appeal dismissed leave application of C.L. Management Services Limited and its sole owner

15/11/2016(0)
The Court of Final Appeal (CFA) has dismissed C.L. Management Services Limited (C.L. Management) and its sole owner and director Ms Clarea Au Suet Ming’s application for leave to ... Read More
ASIC_regulator

Former financial adviser has been sentenced to seven years imprisonment

15/11/2016(0)
Former financial adviser, Mr Darren John Wise, has been sentenced in the Maroochydore District Court to seven years imprisonment on charges brought by ASIC. Mr Wise will be eligible ... Read More
Securities Exchange Commission

SEC Chair Mary Jo White Announces Departure Plans

15/11/2016(0)
SEC Chair Mary Jo White, after nearly four years as the agency’s head, today announced that she intends to leave at the end of the Obama Administration. Under Chair ... Read More
esma regulator

European Commission invites European Supervisory Authorities to amend KID documents for investment products

14/11/2016(0)
The European Supervisory Authorities (ESAs) – the European Banking Authority (EBA), European Securities and Markets Authority (ESMA) and European Insurance and Occupational Pensions Authority (EIOPA) – have received a ... Read More
FCA_regulator

FCA UK warns for a clone of a financial services group

14/11/2016(0)
The Financial Conduct Authority (FCA) has issued a warning to inform that fraudsters are using the details of firms the FCA authorises to try to convince people that they work for ... Read More
binary

Israeli-based firm must pay more than $1.7 million for misleading investors into trading binary options

11/11/2016(0)
The Securities and Exchange Commission announced that an Israeli-based firm must pay more than $1.7 million for misleading investors into trading binary options over the internet, and the agency warned ... Read More
ESMA logo

ESMA finalises Advice on Future Rules for Financial Benchmarks

10/11/2016(0)
The European Securities and Markets Authority (ESMA) has finalised its technical advice to the European Commission on important aspects of future rules for benchmarks. In particular, ESMA provides advice ... Read More
ASIC_regulator

Financial adviser banned for price manipulation of MINI warrants issued by Credit Suisse

10/11/2016(0)
On 8 September 2016, ASIC banned Michael Spencer, formerly a financial adviser, from providing financial services for three years. ASIC found that Mr Spencer engaged in manipulation of the ... Read More
guernsey financial services commission

Guernsey Regulator informs on License fee increase

09/11/2016(0)
Guernsey Regulator has issued a press release to inform  for the Commission’s 2017 Licence Fees. The Guernsey Financial Services Commission has confirmed that it will apply a blended rate increase ... Read More
CySEC

CySec approved a new Administrative Services Provider

09/11/2016(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform that a firm has been approved as Administrative Services Provider (ASP). According the announcement, the below firm has ... Read More
Broker Cyprus TopFX