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regulators

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SEC Proposes Rules to Enhance Transparency and Oversight of Alternative Trading Systems

20/11/2015(0)
The Securities and Exchange Commission today announced it has voted to propose rules to enhance operational transparency and regulatory oversight of alternative trading systems (ATSs) that trade stocks listed ... Read More
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FINRA Fines Deutsche Bank Securities Inc. $1.4 Million

20/11/2015(0)
FINRA Fines Deutsche Bank Securities Inc. $1.4 Million for Violating Regulation SHO and Short Interest Reporting Rules The Financial Industry Regulatory Authority (FINRA) announced today that it has fined ... Read More
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Publication of the PRA and FCA review into the failure of HBOS

19/11/2015(0)
The Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) are today publishing the review into the failure of HBOS Group. This review was originally started by the ... Read More
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FCA fines and bans former Investment Analyst at Aviva Investors

19/11/2015(0)
The Financial Conduct Authority (FCA) has today fined Mothahir Miah, a former Investment Analyst at Aviva Investors Global Services Limited (Aviva Investors), £139,000 and banned him from performing any ... Read More
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PBOC cuts rates for standing lending facility

19/11/2015(0)
China’s central bank on Thursday said it would cut interest rates for a monetary instrument called the Standing Lending Facility, or SLF, in an effort to guide market rates. ... Read More
ASIC_regulator

ASIC has obtained orders freezing investment companies assets

18/11/2015(0)
ASIC has obtained orders in the Federal Court of Australia at Melbourne yesterday freezing the assets of CME Capital Australia Pty Ltd, Boston Pacific Capital Australia Pty Ltd and ... Read More
ASIC_regulator

Bocafx agreed to remove misleading statement for ASIC authorisation

18/11/2015(0)
Following ASIC concerns, Boca Global Financial Group Pty Ltd ACN 602 109 035 (Boca) has agreed to remove statements on its website suggesting Boca is ASIC regulated or authorised ... Read More
finra1

FINRA fines Scottrade $2.6 Million

17/11/2015(0)
FINRA Fines Scottrade $2.6 Million for Significant Failures in Required Electronic Records and Email Retention The Financial Industry Regulatory Authority (FINRA) announced today that it fined Scottrade, Inc. $2.6 ... Read More
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CFTC charges IB Capital FX and agents for Forex Trading case

17/11/2015(0)
The U.S. Commodity Futures Trading Commission (CFTC) filed a civil enforcement Complaint charging Defendants IB Capital FX, LLC (a/k/a IB Capital FX LLP) d/b/a IB Capital (IB Capital), Michel Geurkink, and Emad Echadi, individually and ... Read More
ASIC_regulator

Formax removes false statements about the suspension of its subsidiary’s licence

16/11/2015(0)
Following concerns raised by ASIC, Formax International Market Limited (Formax) has removed a previously published media release from its group website that falsely claimed its wholly owned subsidiary, Australian ... Read More
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