The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Switzerland (Swiss Financial Market Supervisory Authority – FINMA), China (Financial Supervisory Commission Chinese Taipei – FSC), Holland ... Read More
The Securities and Exchange Commission (SEC) announced that three broker-dealers have agreed to pay more than $6 million to settle charges for providing the SEC with incomplete and inaccurate ... Read More
The Commodity Futures Trading Commission (CFTC) announced an Order of default judgment and permanent injunction has been issued against defendants Scott Allensworth (d/b/a Capital Growth Group Associates and Cobra ... Read More
The Securities and Exchange Commission (SEC) has filed insider trading charges against an IT contractor and two others he illegally tipped with confidential client information he stole while working ... Read More
The Financial Conduct Authority (FCA) has issued a press release to inform that an individual sentenced to 5 years’ imprisonment in FCA prosecution of £3m investment fraud. In accordance ... Read More
The Financial Conduct Authority (FCA) has published on 29th of November, 2018, its EU Withdrawal Impact Assessment. The assessment was requested by the Treasury Select Committee and sets out ... Read More
Financial Regulators around the world issued warnings for companies and websites that are offering investment, financial and insurance services without the required authorisation. In accordance the warnings issued, the ... Read More
The Cyprus Securities and Exchange Commission (CySEC) has issued an announcement to inform investors that on November 20, 2018, decided to suspend in whole the license of a Cyprus ... Read More
The Commodity Futures Trading Commission (CFTC) and the Utah Department of Commerce, Division of Securities, through its Attorney General, jointly filed a civil enforcement action in the U.S. District ... Read More
The Securities and Exchange Commission (SEC) announced that Citibank N.A. has agreed to pay $38.7 million to settle charges of improper handling of “pre-released” American Depositary Receipts (ADRs). ADRs ... Read More
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