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Regulators News

European_Central_Bank

European Central Bank released monetary policy decision on interest rates

27/07/2018(0)
At its meeting on July 26, 2018, the Governing Council of the European Central Bank decided that the interest rate on the main refinancing operations and the interest rates on ... Read More
FCA_regulator

FCA banned four former directors of an online consumer credit broker

26/07/2018(0)
The Financial Conduct Authority (FCA) has banned David James Carter Mullins, Edward John Booth, Christopher Paul Brotherton and Mark Robert Kennedy, the former directors and shareholders of Secure My ... Read More
wARNING

Beware: Supervisory authorities around the world issued investor protection warnings

25/07/2018(0)
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Spain (Comisión Nacional del Mercado de Valores – Cnmv), Austria (Financial Market Authority – FMA), Switzerland (Swiss ... Read More
fined

EU Authority fines five Banks for €2.48 million in total

24/07/2018(0)
The European Securities and Markets Authority (ESMA) has fined Danske Bank, Nordea Bank, SEB, Svenska Handelsbanken and Swedbank €495,000 each and issued five public notices for negligently breaching the ... Read More
CySEC logo

CySEC announced the authorization of a new Cyprus Investment Firm

23/07/2018(0)
The Cyprus Securities and Exchange Commission (CySEC), the financial regulatory authority of Cyprus, has issued today an announcement to inform that a new company has been approved by the Commission as ... Read More
penalty image

Deutsche Bank subsidiaries will pay nearly $75 million to settle charges

23/07/2018(0)
The Securities and Exchange Commission (SEC) announced that two U.S.-based subsidiaries of Deutsche Bank AG will pay nearly $75 million to settle charges of improper handling of “pre-released” American Depositary ... Read More
sec

SEC charges investment adviser and CEO with misleading retail investors

20/07/2018(0)
The Securities and Exchange Commission (SEC) charged a Connecticut-based investment advisory firm and its chief executive officer with putting $19 million of investor money, including elderly investors’ retirement savings ... Read More
FCA_regulator

FCA proposes actions to improve competition in the investment platform market

18/07/2018(0)
Competition is working well for most consumers using investment platforms, according to interim findings of the Financial Conduct Authority’s market study into investment platforms, published. However, the FCA’s interim ... Read More
wARNING

CFTC warns people when purchasing virtual currencies

17/07/2018(0)
The Commodity Futures Trading Commission (CFTC) issued a Customer Advisory warning customers to use caution and do extensive research before purchasing virtual coins or tokens, including those that are ... Read More
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Firm to pay $3.4 Million Penalty for attempted manipulation of agricultural markets

16/07/2018(0)
The Commodity Futures Trading Commission (CFTC) issued an Order filing and settling charges against Lansing Trade Group, LLC (Lansing), a commodity merchandising firm with headquarters in Overland Park, Kansas, ... Read More
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