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Regulators

ASIC_regulator

ASIC permanently bans former Sydney finance broker

12/09/2016(0)
ASIC has permanently banned former Sydney finance broker, Jennifer Farias of Elderslie, from engaging in credit activities and providing financial services. The bannings follow an ASIC investigation and criminal ... Read More
CySEC

CySec informed that a Cyprus Investment Firm obtained the license for CIF

12/09/2016(0)
The Cyprus Securities and Exchange Commission (CySec), the financial regulatory authority of Cyprus, has issued an announcement to inform that “Stone Edge Capital Ltd“ has successfully obtained the CySec licence ... Read More
CySEC

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

12/09/2016(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform that, following the announcement dated 25.05.2016, CySec clarifies that the suspension of the authorisation of the Cyprus ... Read More
Securities Exchange Commission

Two investment firms charged with compliance failures

09/09/2016(0)
The Securities and Exchange Commission announced that two investment advisory firms are settling charges related to compliance failures within their wrap fee programs. SEC investigations found that St. Petersburg, Fla.-based ... Read More
SFC-logo-office

SFC Hong Kong warns for Strauss Asset Management

08/09/2016(0)
The Securities and Futures Commission (SFC) Hong Kong, has issued today a warning to inform investors and public for an unlicensed entity with the name Strauss Asset Management. The SFC Hong Kong ... Read More
ASIC_regulator

ASIC cancels AFS licence of The Sharemarket College

08/09/2016(0)
ASIC has cancelled the Australian Financial Services (AFS) licence of Brisbane-based education and training business, The Sharemarket College Pty Ltd (AFS licence No 331635). ASIC has also banned the ... Read More
ASIC_regulator

Westpac refunds $20 million in credit card foreign transaction fees

08/09/2016(0)
Westpac Banking Corporation (Westpac) has recently refunded approximately $20 million to around 820,000 customers for not clearly disclosing the types of credit card transactions that attract foreign transaction fees. ... Read More
SFC - Hong Kong

SFC bans former employees of HSBC

07/09/2016(0)
The Securities and Futures Commission (SFC) has banned Ms Chau Hang Yu and Mr Steve Chow Chun Yin, both former employees of The Hongkong and Shanghai Banking Corporation Limited ... Read More
ASIC_regulator

Morgan Stanley pays $123,750 in infringement notice penalty

07/09/2016(0)
Morgan Stanley Australia Securities Limited (“Morgan Stanley”) has paid a penalty of $123,750 to comply with an infringement notice given to it by the Markets Disciplinary Panel (“MDP”). The MDP ... Read More
CySEC

CySec imposed more than 1 million in Administrative Fines on Investment firms in 2016

07/09/2016(0)
The Cyprus Securities and Exchange Commission (CySec) has imposed the total of €1,168 million of fines on Cyprus Investment Firms in 2016, till August 31. In this amount is included a ... Read More
Broker Cyprus TopFX