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Regulators News

esma (European Securities and Markets Authority)

ESMA published details of its action plan for systematic internaliser regime calculations

13/07/2018(0)
The European Securities and Markets Authority (ESMA) has published details of its action plan (within its updated Q&As on MiFID II and MiFIR transparency topics) for systematic internaliser (SI) ... Read More
wARNING

BCSC warns for unregistered firms providing Forex and cryptocurrency trading

10/07/2018(0)
The British Columbia Securities Commission (BCSC) has issued warnings to inform investors and public for Companies not registered to trade in, or advise on, securities or exchange contracts in ... Read More
Credit Suisse branch is seen in New York

Credit Suisse to pay millions in dollars to settle criminal penalty and charges

09/07/2018(0)
The Securities and Exchange Commission announced that Credit Suisse Group AG will pay approximately $30 million to resolve SEC charges that it obtained investment banking business in the Asia-Pacific ... Read More
esma (European Securities and Markets Authority)

EBA and ESMA publish Guidelines on suitability assessment for management body members and key function holders

06/07/2018(0)
The European Banking Authority (EBA) and the European Securities and Markets Authority (ESMA) have published their joint Guidelines to assess the suitability of members of management bodies and key ... Read More
amf

Closet index funds: The AMF proposes an alternative approach to those currently used in Europe

05/07/2018(0)
The Autorité des marchés financiers (AMF) analysed nearly 800 French funds using a method based on fund return and market data, which enables more funds to be examined than ... Read More
CySEC logo

Cyprus Regulator decided to withdraw the license of a Cyprus Investment Company

03/07/2018(0)
The Cyprus Securities and Exchange Commission (CySEC) has issued an announcement to inform that, on its meeting of 25th June 2018, has decided to wholly withdraw the Cyprus Investment ... Read More
red Fraud-Stamp image

Operator of commodity trading fund charged with defrauding fund participants

03/07/2018(0)
The Commodity Futures Trading Commission (CFTC or Commission) filed a civil enforcement action in the U.S. District Court for the Eastern District of New York, charging Defendant Harris Bruce ... Read More
euro currency

European Central Bank: How the euro helps small business

02/07/2018(0)
The European Central Bank has published a video explaining how the euro helps small business. As in most parts of the world, micro, small and medium-sized enterprises (MSMEs) form ... Read More
wARNING

Investors warnings to avoid unathorized financial services firms

28/06/2018(0)
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Switzerland (Swiss Financial Market Supervisory Authority – FINMA), Sweden (Finansinspektionen), Austria (Financial Market Authority – FMA), Spain ... Read More
Broker Cyprus TopFX