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regulators

FCA-logo

FCA doubles interventions in 2014

05/01/2015(0)
The Financial Conduct Authority (FCA) doubled the number of times it intervened to force firms to change their practices in 2014. The FCA made 31 ‘early interventions’ – which ... Read More
finma

FINMA: Switzerland Completes Financial Services Regulator Review

05/01/2015(0)
The Swiss Federal Council has concluded that there is no fundamental need for comprehensive reform of the Financial Market Supervisory Authority (FINAMA), but has identified what it says are ... Read More
FCA_regulator

U.K. regulators hit hurdles on fixing benchmarks

18/12/2014(0)
U.K. regulators are expected to report in coming weeks on plans to fix global financial benchmarks. But efforts so far under way are already running into difficulties. Some market ... Read More
Cyprus Securities and exchange commission (cysec)

CySec: acquisition of Administrative Services Providers (ASP) licence

11/12/2014(0)
The Cyprus Securities and Exchange Commission (CySec), the Cypriot financial regulatory authority, has announced that the following firm has successfully obtained the CySec licence to operate as Administrative Services ... Read More
Bank of Russia, Moschow

Bank of Russia: On cancelling licences of professional securities market participant

10/12/2014(0)
The Central Bank of the Russian Federation (Bank of Russia) has released a notice yesterday to inform that: On 4 December 2014, due to the revocation of the banking licence from the ... Read More
ASIC logo

ASIC surveillance prompts FX provider to enhance compliance procedures

08/12/2014(0)
Following an ASIC surveillance, Calibre Investments Pty Ltd will implement changes to the way it offers FX services to retail clients. The move is part of ASIC’s crackdown on ... Read More
ESMA logo

ESMA to cooperate with regional regulators on Australian CCPs

04/12/2014(0)
The European Securities and Markets Authority (ESMA), the Australian Securities and Investments Commission (ASIC) and the Reserve Bank of Australia (RBA) have concluded a Memorandum of Understanding (MoU). The MoU ... Read More
FCA_regulator

FCA: New rules will protect consumers from harmful fee-charging credit broking practices

01/12/2014(0)
New rules have been introduced by the Financial Conduct Authority (FCA) today to tackle poor practice in the credit broking market which is causing serious detriment to consumers. The ... Read More
EAIG

European Audit Regulators on audit quality issues

01/12/2014(0)
Independent audit regulators from Europe, including the Luxembourg, have structured meetings with different stakeholders on audit quality issues. In November, the European Audit Inspection Group (EAIG) met KPMG’s European leadership and ... Read More
Cyprus Securities and exchange commission (cysec)

CySec: acquisition of Administrative Services Providers (ASP) licence

27/11/2014(0)
The Cyprus Securities and Exchange Commission (CySec), the Cypriot financial regulatory authority, has announced that the following firms have successfully obtained the CySec licence to operate as Administrative Services ... Read More
Broker Cyprus TopFX