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Regulators

ASIC_regulator

Cash Converters to pay over $12M following ASIC probe

09/11/2016(0)
Following an ASIC investigation, payday lender Cash Converters will refund $10.8 million to consumers who received small amount loans under approximately 118,000 small amount credit contracts. Cash Converters has ... Read More
ASIC_regulator

ASIC welcomes ‘client money’ reforms

08/11/2016(0)
ASIC today welcomed the Government’s decision to proceed with ‘client money’ reforms in respect of retail OTC derivatives. ‘The reforms to the client money regime will strengthen protection of ... Read More
CySEC

CySec issued update notice regarding the Investor Compensation Fund for Falcon Brokers covered clients

07/11/2016(0)
The Cyprus Securities and Exchange Commission (CySec) has issued today an announcement to inform further regarding the Investor Compensation Fund for IF Clients for the the covered clients of Falcon ... Read More
FCA-logo

FCA UK unveils successful sandbox firms on the second anniversary of Project Innovate

07/11/2016(0)
The Financial Conduct Authority (FCA) today marks the second anniversary of Project Innovate by announcing the firms that were successful in their applications to begin testing in the first ... Read More
dfs-investigation

Bank fined $215 Million by DFS for violating Anti Money Laundering Laws

07/11/2016(0)
DFS Investigation Uncovers Intentional Actions to Obscure U.S. Dollar Clearing Transactions, Including Counterfeit and Falsified Invoices involving China and Russia and Omission of Information Regarding Possible U.S. Dollar Trades ... Read More
nfa log

UK located commodity pool operator and commodity trading advisor ordered to pay a $60,000 fine

07/11/2016(0)
NFA orders London, England, commodity pool operator and commodity trading advisor The Cambridge Strategy Asset Management Limited to pay $60,000 fine National Futures Association (NFA) has ordered The Cambridge Strategy ... Read More
ASIC_regulator

ASIC announced no debit fees for payday loans

04/11/2016(0)
Following an independent review of payday lending laws, ASIC has taken steps to ensure consumers are not charged direct debit fees when taking out a small amount loan. This ... Read More
FCA-logo

Former Equity Portfolio Manager at BlackRock pleads guilty to insider dealing

03/11/2016(0)
Mark Lyttleton, a former Equity Portfolio Manager at BlackRock, has today pleaded guilty to two counts of insider dealing.  He will be sentenced on 21 December 2016. Mr Lyttleton ... Read More
SFC-logo-office

SFC bans Individual for 10 years

02/11/2016(0)
The Securities and Futures Commission (SFC) has prohibited Mr Lawrence Lai, a former representative of UOB Kay Hian (Hong Kong) Limited and UOB Kay Hian Futures (Hong Kong) Limited ... Read More
cyprus-central-bank---2

Central Bank of Cyprus fined Privatbank €1.535.000 for AML Law violations

02/11/2016(0)
The Central Bank of Cyprus (CBC) has issued an announcement to inform for the imposition of fine on Public Joint-Stock Company Commercial Bank “Privatbank” (Cyprus branch). According the CBC’s ... Read More
Broker Cyprus TopFX