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Regulators

ASIC_regulator

ASIC bans Brisbane financial advisor

23/09/2016(0)
ASIC has permanently banned Mr Sandeep Madhoji from providing financial services or  engaging in credit activity after he was sentenced to imprisonment for fraud charges. This prosecution was the ... Read More
barclays

CFTC Orders United Kingdom-Based Barclays Bank PLC to Pay $500,000

23/09/2016(0)
The U.S. Commodity Futures Trading Commission (CFTC) issued an Order filing and simultaneously settling charges against Barclays Bank PLC (Barclays) for failing to create, maintain, and promptly produce required confirmations for a ... Read More
cftc-logo

Advantage Futures penalised for Risk Management and other failures

22/09/2016(0)
The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Advantage Futures LLC (Advantage), a Chicago-based Futures Commission Merchant (FCM), for failing to diligently ... Read More
SFC - Hong Kong

SFC Hong Kong investigates licensed brokerages for inadequate AML internal controls

22/09/2016(0)
The Securities and Future Commission (SFC) of Hong Kong has issued an announcement to inform that its Enforcement Division is investigating a number of cases of SFC licensed brokerages ... Read More
Reserve Bank of New Zealand

The Reserve Bank of New Zealand left the Official Cash Rate unchanged at 2.0 percent

22/09/2016(0)
The Reserve Bank of New Zealand has issues a press release to inform that the Bank decided to left the Official Cash Rate unchanged at 2.0 percent. Global growth ... Read More
CySEC

CySec announced the Continuance of Suspension and commencement of proceedings for the possible withdrawal of a CIF license authorisation

21/09/2016(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform that, following the announcement dated 09.08.2016, the suspension of the authorisation of the Cyprus Investment Firm ... Read More
CySEC

CySec announced law violations by Cyprus Popular Bank Public Co Ltd and fined Members of its Board

21/09/2016(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform that the Commission has examined the matter of compliance of Cyprus Popular Bank Public Co Ltd with ... Read More
ASIC_regulator

ASIC discontinues proceedings against two former LM directors

21/09/2016(0)
ASIC has discontinued its proceedings against Simon Tickner and Lisa Darcy, former directors of LM Investment Management Ltd (LMIM). In 2014, ASIC commenced civil penalty proceedings in the Federal ... Read More
cftc-logo

CFTC charges company and individual for Illegal Off-Exchange Precious Metals Transactions

21/09/2016(0)
The U.S. Commodity Futures Trading Commission (CFTC) filed a civil injunctive enforcement action in the U.S. District Court for the Southern District of Florida against Florida-based Defendants KB Concepts Group, ... Read More
Bcsc canada regulator

BCSC warns regarding Binary Uno

20/09/2016(0)
The British Columbia Securities Commission (BCSC) has issued a warning to inform regarding binary options trading platform Binary Uno, operated by DOM Technology Services Ltd (the Parties) and claims to be based in London, ... Read More
Broker Cyprus TopFX