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Regulators News

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UK regulator fined a Bank for anti-money laundering systems failings

07/06/2018(0)
The UK regulator Financial Conduct Authority (FCA), has issued an announcement to inform that has fined Canara Bank £896,100 and has imposed a restriction, preventing it from accepting deposits ... Read More
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Société Générale to pay millions for LIBOR and Euribor manipulation charges

05/06/2018(0)
The Commodity Futures Trading Commission (CFTC) issued an Order filing and settling charges against Société Générale S.A. (Société Générale or the Bank) for attempted manipulation of and false reporting ... Read More
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AMF warns retail investors and public about aggressive “boiler room”

05/06/2018(0)
The Autorite des Marches Financiers (AMF), an independent public authority in France responsible for ensuring that savings invested in financial products are protected, that investors are provided with adequate ... Read More
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The Securities and Exchange Commission charges 13 private fund advisers

04/06/2018(0)
The Securities and Exchange Commission today announced settlements with 13 registered investment advisers who repeatedly failed to provide required information that the agency uses to monitor risk. According to ... Read More
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ESMA publishes final guidelines on MiFID II suitability requirements

30/05/2018(0)
The European Securities and Markets Authority (ESMA) has published its Final Report on Guidelines on certain aspects of the MiFID II suitability requirements. The assessment of suitability is one ... Read More
Securities Exchange Commission

SEC USA released a Public Statement by Chairman Jay Clayton on fraudulent Crypto ICOs

23/05/2018(0)
The U.S. Securities and Exchange Commission has released a Public Statement by Chairman Jay Clayton in relation to the North American Securities Administrators Association (NASAA) announcement of enforcement sweep ... Read More
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How has the European equity market responded and performed in the wake of MiFID II?; AMF Chairman

22/05/2018(0)
Robert Ophèle, the Chairman of the Autorité des Marchés Financiers (AMF) that regulates participants and products in France’s financial markets, gave a speech during TradeTech Europe 2018 – 25 ... Read More
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CFTC opens access to Indian Futures market for U.S. customers

18/05/2018(0)
The Commodity Futures Trading Commission (CFTC) issued an order to the National Stock Exchange of India (NSE) as part of its longstanding program of regulatory deference to foreign regulatory ... Read More
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Individuals charged in international unlawful stock sales scheme

17/05/2018(0)
The Securities and Exchange Commission (SEC) charged four individuals for their roles in a fraudulent scheme that generated nearly $34 million from unlawful stock sales and caused significant harm ... Read More
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CySEC informs that three Companies providing Administrative Services waived their license

16/05/2018(0)
The Cyprus Securities and Exchange Commission (CySEC) has issued an announcement to inform that, on 30th March 2018, 26th April 2018 and 30th April 2018 the Companies providing Administrative ... Read More
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