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Regulators

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CFTC charges Companies and Individuals with fraud in Selling a Futures Trading System

13/10/2016(0)
CFTC Charges Utah Resident Kimball Parker and Florida Resident Timothy Baggett with Fraud and Other Violations in Connection with Offering and Selling a Futures Trading System Parker’s Company, MakeYourFuture, ... Read More
deutsche bank

SEC: Deutsche Bank to pay a $9.5 million penalty

13/10/2016(0)
The Securities and Exchange Commission today announced that Deutsche Bank Securities has agreed to pay a $9.5 million penalty for failing to properly safeguard material nonpublic information generated by ... Read More
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FCA fines Sonali Bank for serious anti-money laundering systems failings

12/10/2016(0)
The Financial Conduct Authority (FCA) has fined Sonali Bank (UK) Limited (SBUK) £3,250,600 and has imposed a restriction, preventing it from accepting deposits from new customers for 168 days. ... Read More
CySEC

CySec announced approval of a new Administrative Services Provider

12/10/2016(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 have ... Read More
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CFTC approves Rule on cross-border transactions

12/10/2016(0)
The U.S. Commodity Futures Trading Commission (Commission) today voted unanimously to propose rules and interpretations addressing the application of certain swap provisions of the Commodity Exchange Act (CEA) and ... Read More
Barclays

Barclays Bank is the most complaint about firm according to FCA

11/10/2016(0)
Financial services firms recorded a 2.6% reduction in new complaints between January and June 2016 compared to the previous six months, according to new complaints data published today by ... Read More
CySEC

CySec informs CIFs regarding Capital adequacy requirements

11/10/2016(0)
The Cyprus Securities and Exchange Commission (CySec) has issued a Circular to inform the Cyprus Investment Firms (CIFs) regarding Capital adequacy requirements – Change in the treatment of the Investors Compensation Fund ... Read More
Monetary-Authority-of-Singapore

MAS: Falcon Bank to Cease Operations due to serious failures in AML controls

11/10/2016(0)
The Monetary Authority of Singapore (MAS) announced today that it is withdrawing the merchant bank status of Falcon Private Bank Ltd, Singapore Branch (Falcon Bank) for serious failures in ... Read More
ASIC_regulator

Findex Group and Financial Index Australia fined by ASIC

10/10/2016(0)
Findex Group Limited and Financial Index Australia Pty Ltd (FIA) have each paid a $10,800 penalty following the issuing by ASIC of infringement notices for potentially misleading claims on ... Read More
Broker Cyprus TopFX