Search Results for: regulators
IFSC confirms that Forex firm Maxim Capital Limited is not licensed by the Commission as it claims
October 26th, 2015
The International Financial Services Commission of Belize (IFSC) has issued a press release to warn investors and public that it has come to the notice of the Commission that an entity calling itself “Maxim Capital Limited” claims to be ...
ASIC publishes results of new reviews of high-frequency trading and dark liquidity
October 26th, 2015
The Australian Securities and Investment Commission has released today a report of new reviews of high-frequency trading and dark liquidity. The report examining the impact of high-frequency trading on Australian equity and futures markets and dark liquidity on Australian ...
FCA has issued six warnings for unauthorised firms on the same day
October 23rd, 2015
The Financial Conduct Authority (FCA) of UK has issued six different warnings on the same day to inform investors and public for six different companies that FCA believes that they are providing financial services or products in the UK ...
Barclays, HSBC and RBS agree to £600m fine for foreign exchange rigging
October 23rd, 2015
Three of Britain’s biggest banks were slapped with a $924m (£600m) bill for rigging foreign-exchange markets yesterday. Barclays, HSBC and RBS agreed the bill during a US federal court hearing, according to reports from Sky News. Barclays agreed to ...
Deloitte: Bitcoin at the crossroads
October 22nd, 2015
There is a race to regulate Bitcoin. Is it too soon? Bitcoin has captured the imagination of consumers and businesses around the world as a major breakthrough in how value is exchanged. The Bitcoin “blockchain” is a fundamental breakthrough ...
MiFID II – the road ahead
October 22nd, 2015
The financial Conduct Authority (FCA), the financial regulator of UK, has published a Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at the FCA MiFID II Conference, London. David Lawton, Director of Markets Policy and ...
FINRA Sanctions 12 Firms a Total of $6.7 Million
October 21st, 2015
More than $4 Million in Restitution Ordered to Affected Customers The Financial Industry Regulatory Authority (FINRA) has issued an announcement to inform that: That it has ordered 12 firms to pay restitution totaling more than $4 million and fines ...
CySec announced Withdrawal of suspension of CIF authorisation
October 21st, 2015
The Cyprus Securities and Exchange Commission (CySec), the financial regulatory authority of Cyprus, has issued an announcement to inform that: Further to the announcement dated 16 July 2015, informs the public that, at its meeting dated 5 October 2015, decided ...
Negative Interest Rates Are Here
October 20th, 2015
Not so long ago, a bank was by definition a business that took deposits from customers, paid them for the use of their money, and lent the cash to other customers at a profit. But that’s not how it ...
SEC announced settlement of charges with two UBS Advisory Firms
October 20th, 2015
Two UBS Advisory Firms Settle Charges Arising From Failure to Disclose Change in Investment Strategy Settlement Will Return More Than $13 Million to Harmed Investors The Securities and Exchange Commission announced that two UBS advisory firms have agreed to settle ...
