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regulators

ASIC_regulator

ASIC cancels the license of Forex Broker Firm

15/10/2015(0)
Following its investigation, ASIC has cancelled the Australian financial service licence (AFSL) of LSG Group Pty Ltd , formerly known as NZ Global Financial Trading Pty Ltd, Easy Capital ... Read More
sec-logo

UBS to Pay $19.5 Million Settlement Involving Notes Linked to Forex trading strategy

14/10/2015(0)
Case Is Agency’s First Against an Issuer of Retail Structured Notes The Securities and Exchange Commission today announced that UBS AG has agreed to pay $19.5 million to settle ... Read More
finra1

FINRA Sanctions Santander Securities LLC $6.4 Million

14/10/2015(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it ordered Santander Securities LLC to pay approximately $4.3 million in restitution to certain customers who were solicited to purchase ... Read More
FCA_regulator

FCA UK issued a warning for a Forex Trading Firm

14/10/2015(0)
FCA has issued a press release to inform that the below firm has been providing financial services or products in the UK without its authorisation. Almost all firms and individuals ... Read More
fsb

FSB warns regarding an online trading company

13/10/2015(0)
The Financial Services Board (FSB), an independent institution established by statute to oversee South African non-banking financial services industry, warns the public to act with caution when dealing with Broker Capital, an ... Read More
SEC_logo

SEC charged Trading Company With failing to maintain Policies to prevent misuse of Material Nonpublic Information

13/10/2015(0)
The Securities and Exchange Commission today charged Wolverine Trading LLC and Wolverine Asset Management LLC with failing to maintain and enforce policies and procedures to prevent the misuse of ... Read More
Bank of England

Bank of England maintains Bank Rate at 0.5%

09/10/2015(0)
The Bank of England’s Monetary Policy Committee (MPC) sets monetary policy in order to meet the 2% inflation target and in a way that helps to sustain growth and ... Read More
bundesbank-feb

Bundesbank publishes gold bar list

08/10/2015(0)
On 7 October, the Deutsche Bundesbank published a list detailing its holdings of gold bars in custodian storage in Frankfurt am Main, London, Paris and New York. The list contains ... Read More
ASIC_regulator

ASIC report on market integrity

07/10/2015(0)
ASIC achieved 11 significant enforcement outcomes relating to market misconduct in the first six months of this year. Details of these and other achievements feature in Report 450: Market integrity ... Read More
fca-building

FCA introduces new rules on whistleblowing

07/10/2015(0)
The Financial Conduct Authority (FCA), alongside the Prudential Regulation Authority (PRA), has today published new rules in relation to whistleblowing. These changes follow recommendations in 2013  by the Parliamentary Commission on ... Read More
Broker Cyprus TopFX