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regulators

Bcsc canada regulator

BCSC panel issues lifetime ban against self-employed “Forex” trader

09/12/2015(0)
A British Columbia Securities Commission (BCSC) panel has fined and permanently banned Hong Liang Zhong from the province’s capital markets for fraud, unregistered trading and offering clients false guarantees to reimburse ... Read More
ASIC_regulator

ASIC: Australian Investment Exchange Limited pays $130,000

09/12/2015(0)
Australian Investment Exchange Limited (AUSIEX) has paid a penalty of $130,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (MDP). The penalty was ... Read More
fca-building

FCA publishes new measures for cash savings accounts to boost competition

09/12/2015(0)
Savers with cash accounts will benefit from a new package of measures published today by the Financial Conduct Authority (FCA) designed to improve competition by encouraging easier and quicker ... Read More
deutsche-bank1

Japan securities watchdog seeks penalties against Deutsche Securities

08/12/2015(0)
Japan‘s securities watchdog recommended on Tuesday that Deutsche Bank‘s brokerage unit be punished after it provided information about a Japanese company to clients ahead of an earnings release. The ... Read More
cftc

CFTC fines individual and Forex Trading Advisors Firms

08/12/2015(0)
CFTC Finds that Respondents Made False Statements to the CFTC, Committed Foreign Currency Solicitation Fraud, and Failed to Register with the CFTC The U.S. Commodity Futures Trading Commission (CFTC) ... Read More
ASIC_regulator

ASIC permanently bans insurance broker convicted of fraud

08/12/2015(0)
ASIC has permanently banned Mr Mark Chapple from providing financial services after he was convicted of fraud in the NSW Magistrates Court (Tamworth). In May 2015, Mr Chapple pleaded guilty ... Read More
Bcsc canada regulator

BCSC panel issues lifetime ban against B.C. man for fraud

03/12/2015(0)
A British Columbia Securities Commission (BCSC) panel has fined and permanently banned Rodney Jack Wharram from the province’s capital markets for fraud. In February 2015, the panel found that Wharram, West ... Read More
esma regulator

European swap clearing to start in June 2016

03/12/2015(0)
Firms will have to centrally clear certain classes of interest rate swaps starting from 21 June 2016. The clearing obligation in the Europe Union (EU) will enter into force ... Read More
Grant Thornton logo

SEC: Grant Thornton Ignored Red Flags in Audits

03/12/2015(0)
The Securities and Exchange Commission announced that national audit firm Grant Thornton LLP and two of its partners agreed to settle charges that they ignored red flags and fraud risks ... Read More
SEC_logo

SEC Charges Bitcoin Mining Companies

02/12/2015(0)
The Securities and Exchange Commission today charged two Bitcoin mining companies and their founder with conducting a Ponzi scheme that used the lure of quick riches from virtual currency ... Read More
Broker Cyprus TopFX