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regulators

SFC-logo-office

SFC fines BNP Paribas Securities (Asia) Limited $15 million for dark liquidity pool-related failures

04/08/2015(0)
The Securities and Futures Commission (SFC) has fined BNP Paribas Securities (Asia) Limited (BNPP Securities Asia) $15 million for failures in relation to its dark liquidity pool trading services ... Read More
cftc

CFTC charges individual and two corporations for Forex fraud scheme

04/08/2015(0)
The U.S. Commodity Futures Trading Commission (CFTC) today announced the unsealing of a civil enforcement action filed in the U.S. District Court for the Middle District of Alabama, charging Husam ... Read More
Reserve-Bank-of-Australia-logo

RBA: Monetary Policy Decision

04/08/2015(0)
Reserve Bank of Australia (RBA) at its meeting today, the Board decided to leave the cash rate unchanged at 2.0 per cent. The global economy is expanding at a moderate ... Read More
nfa log

NFA takes emergency enforcement action against commodity trading advisor

31/07/2015(0)
National Futures Association (NFA) announced today that it has taken an emergency enforcement action against Jonathan Parker (Parker), an NFA Member commodity trading advisor (CTA) located in Woodstock, Ga. This action ... Read More
fca-building

FCA bans former Rabobank trader, Lee Stewart, following LIBOR fraud

30/07/2015(0)
The Financial Conduct Authority (FCA) has banned Lee Stewart, a former trader at Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A. (Rabobank) from the UK financial services industry for lacking honesty and integrity ... Read More
ASIC_regulator

ASIC takes civil action against two for unlicensed financial services business

30/07/2015(0)
ASIC has commenced civil proceedings in the Supreme Court of Queensland against Dr Roger Gareth Munro and Mrs Kathleen Susan Munro. ASIC is seeking declarations and other orders in ... Read More
FCA_regulator

Firms making good progress in handling unauthorised transactions

28/07/2015(0)
Research into how claims are handled for unauthorised transactions (when a payment is made from a consumer’s account without their consent) found that firms are making good efforts to ... Read More
finra1

FINRA Fines Goldman Sachs Execution & Clearing, L.P. $1.8 Million for OATS and Trade Reporting Failures

28/07/2015(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Goldman Sachs Execution & Clearing, L.P. $1.8 million for systemic Order Audit Trail System (OATS) reporting violations ... Read More
fca-building

Cash Genie agree with FCA to provide £20 million redress to over 92,000 customers

27/07/2015(0)
Ariste Holding Limited, trading as Cash Genie, has entered into an agreement with the Financial Conduct Authority (FCA) to provide over £20 million of redress to more than 92,000 ... Read More
fma

Stop Order issued from FMA agains an investment company

27/07/2015(0)
The Financial Markets Authority (FMA) has issued a Stop Order against Green Gardens Finance Trust Limited (GGFT) and warns the public to be wary of doing business or depositing ... Read More
Broker Cyprus TopFX