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Regulators

Securities Exchange Commission

SEC Charges Board Member With Insider Trading During and After Board Meeting

24/10/2016(0)
The Securities and Exchange Commission today charged a Tennessee-based lawyer who served on the executive committee of the board of directors at Nashville-based Pinnacle Financial Partners with insider trading ... Read More
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ECB leaves interest rates unchanged at record lows

21/10/2016(0)
The Governing Council of the ECB decided that the interest rate on the main refinancing operations and the interest rates on the marginal lending facility and the deposit facility ... Read More
FCA_regulator

FCA UK issued a warning against Titanium Wealth Management

21/10/2016(0)
The Financial Conduct Authority (FCA) has issued a warning to inform that the Authority believes that the below firm has been providing financial services or products in the UK without FCA’s ... Read More
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SFC reprimands and fines two JP Morgan entities HK$5.6 million for regulatory breaches

20/10/2016(0)
The Securities and Futures Commission (SFC) has reprimanded J.P. Morgan Securities (Asia Pacific) Limited (JPMSAP) and JPMorgan Chase Bank, National Association (JPMCB), and fined them $3 million and $2.6 ... Read More
CySEC

CySec warns regarding individuals impersonating CySec representatives

20/10/2016(0)
The Cyprus Securities and Exchange Commission ( CySEC) has issued an announcement to warn about: Following up on the relevant Cyprus Securities and Exchange Commission (‘CySEC’) announcements dated 27 November ... Read More
ifsc

A warning issued against BinaryOptionInvestors Inc.

20/10/2016(0)
The International Financial Services Commission of Belize (IFSC Belize) has issued a warning to inform that: It has come to the notice of the International Financial Services Commission of Belize (IFSC ... Read More
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How a Broker defrauded customers for six years

20/10/2016(0)
The Securities and Exchange Commission (SEC) has issued an announcement to inform for an administrative proceeding against an ex-LPL broker. According the announcement, SEC bars Paul Lebel, an LPL ... Read More
CSSF Luxembourg

Warning regarding the activities of an entity named Zidex Financials

20/10/2016(0)
The Commission de Surveillance du Secteur Financier (CSSF) warns the public of the activities of an entity named Zidex Financials (website: http://www.zidexfinancials.com) which claims to be supervised by the ... Read More
Securities Exchange Commission

SEC: Israeli-based Bank Leumi has agreed to pay $1.6 million to settle charges

19/10/2016(0)
SEC Charges Bank Leumi With Conducting Unregistered U.S. Cross-Border Business The Securities and Exchange Commission today announced that Israeli-based Bank Leumi has agreed to pay $1.6 million and admit ... Read More
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FINRA Fines Merrill Lynch $2.8 Million

19/10/2016(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner and Smith Inc. $2.8 million for systemic trade reporting, Order Audit Trail System ... Read More
Broker Cyprus TopFX