Advertise With Us
Sign up for our Newsletter
Join Our Directory
Open an Account

regulators

finra1

FINRA Sanctions Three Firms for Inadequate Supervision of Consolidated Reports

31/03/2015(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has sanctioned three firms – H. Beck, Inc., LaSalle St. Securities, LLC, and J.P. Turner & Company, LLC – ... Read More
ASIC logo

ASIC issues warning about Grandegoldens

30/03/2015(0)
ASIC cautions Australian investors in the retail foreign exchange industry in regard to dealing with a company named Grandegoldens Pty Ltd (ACN 080 952 245). ASIC has become aware ... Read More
Bank-of-England

Global Preamble: Codes of best market practice and shared global principles

30/03/2015(0)
The eight foreign exchange committees in the major financial centres are releasing today a revised “Global Preamble: Codes of best market practice and shared global principles” document, which was ... Read More
bank-of-england

Bank of England publishes details of 2015 stress test for largest UK banks and building societies

30/03/2015(0)
​Today, the Bank of England is publishing the scenario for the 2015 stress test, which will be applied to the largest UK banks and building societies. The scenario has ... Read More
IMF logo

IMF and China’s Ministry of Finance Sign Agreement on Strengthening Fiscal Institutions and Capacity Development

30/03/2015(0)
A new initiative launched this week marks an important milestone in the area of technical cooperation and training between the International Monetary Fund (IMF) and the Chinese Ministry of ... Read More
finra1

FINRA Sanctions Oppenheimer & Co. $3.75 Million for Supervisory Failures

27/03/2015(0)
Firm Fined $2.5 Million and Ordered to Pay Restitution of $1.25 Million for Failing to Supervise Former Oppenheimer Broker Mark Hotton The Financial Industry Regulatory Authority (FINRA) announced today ... Read More
fca-building

FCA lambasted by MPs over insurance market panic

27/03/2015(0)
The Financial Conduct Authority has still not learnt from last year’s calamitous “pre-briefing” of insurance market reforms, and its chief executive, Martin Wheatley, is still in denial about what ... Read More
sec-logo

SEC Charges Nearly Two Dozen Unregistered Broker-Dealers

27/03/2015(0)
The Securities and Exchange Commission today charged nearly two dozen companies and individuals who regularly bought and sold securities on behalf of a suburban Chicago-based trading firm without registering ... Read More
mifid1

Derivatives under MiFID II: Time for equal access

26/03/2015(0)
Verena Ross, Executive Director of ESMA, recently delivered a keynote speech to the ABA/Law Society Capital Markets Conference in London. Her speech focused on the importance of increasing transparency ... Read More
FCA-logo

FCA warning against clone firm

26/03/2015(0)
The Financial Conduct Authority (FCA) of the United Kingdom has issued a warning to alert all recipients that: Fraudsters are using or giving out the following details as part ... Read More
Broker Cyprus TopFX