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regulators

Hellenic Capital Market Commission (HCMC)

HCMC imposes fines on foreign investors for naked short selling

29/04/2015(0)
Over 1.6 million euros worth of fines were imposed for naked short selling during April and May of 2014 The Hellenic Capital Market Commission (HCMC) announced that it has ... Read More
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Bank of Thailand: Monetary Policy Committee’s Decision on 29 April 2015

29/04/2015(0)
Mr. Mathee Supapongse, Secretary of the Monetary Policy Committee (MPC), announced the outcome of the meeting on 29 April 2015 as follows. The committee voted 5 to 2 to ... Read More
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Federal court in Florida issued a Consent Order against Inter-Global Currency & Precious Metals and its owner

28/04/2015(0)
The U.S. Commodity Futures Trading Commission (CFTC) today announced that a federal court in Ft. Lauderdale, Florida issued a Consent Order against Defendants Inter-Global Currency & Precious Metals, LLC (IGCPM) of ... Read More
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ASIC: FC Stone Australia Pty Ltd pays $130,000 infringement notice penalty

28/04/2015(0)
FC Stone Australia Pty Ltd (“FC Stone”) has paid a total penalty of $130,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (“MDP”). ... Read More
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AMF warns against sites misusing its name and logo

27/04/2015(0)
The Autorité des Marchés Financiers (AMF) is warning the public against sites misusing its name and logo and redirecting to binary option trading platforms. The AMF Financiers is alerting ... Read More
ECB

Financial integration in Europe rebounds, ECB report finds

27/04/2015(0)
Financial integration in the euro area has improved steadily and has reached a level close to that before the sovereign debt crisis Establishment of Banking Union and unconventional monetary ... Read More
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SEC Charges New York-Based Financial Advisor With Stealing $20 Million From Customers

17/04/2015(0)
The Securities and Exchange Commission today announced fraud charges against a New York City-based financial advisor accused of stealing at least $20 million from customers to fund his own ... Read More
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FSC Mauritius issued a Warning against WATTENBERG CAPITAL LTD

16/04/2015(0)
The Financial Services Commission, Mauritius (the “FSC Mauritius”) would like to alert the public with regards to WATTENBERG CAPITAL LTD (“WATTENBERG”). The FSC Mauritius has recently been apprised that ... Read More
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ECB: Monetary policy decisions – rate unchanged

15/04/2015(0)
At today’s meeting the Governing Council of the ECB decided that the interest rate on the main refinancing operations and the interest rates on the marginal lending facility and ... Read More
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NFA orders Memphis, Tenn. firm K&M Trading, LLC and its principals, William Kaelin and John Morrissey, to pay $105,000 fine

15/04/2015(0)
National Futures Association (NFA) has ordered K&M Trading, LLC (K&M), William Kaelin and John Morrisseyto pay a $105,000 fine. K&M is an NFA Member commodity trading advisor located in Memphis, Tenn. Kaelin and Morrissey ... Read More
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