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Regulators News

scam

USA Regulator ordered a penalty of more than $2.2 million for Forex fraud scheme

14/05/2018(0)
The Commodity Futures Trading Commission (CFTC) announced that Judge Esther Salas of the U.S. District Court for the District of New Jersey has entered an Order of default judgment ... Read More
ESMA logo

MiFID II: ESMA issues latest Double Volume Cap data

10/05/2018(0)
The European Securities and Markets Authority (ESMA) has updated its public register with the latest set of double volume cap (DVC) data under the Markets in Financial Instruments Directive ... Read More
esma (European Securities and Markets Authority)

ESMA provides One-Stop Company Portal

08/05/2018(0)
The European Securities and Market Authority (ESMA) has issued an announcement to inform that has launched a Companies’ Portal where investors seeking information on whether a financial service provider ... Read More
red Fraud-Stamp image

$85 million ponzi scheme shuts down

03/05/2018(0)
The Securities and Exchange Commission announced the unsealing of fraud charges against a Mississippi company and its principal who allegedly bilked at least 150 investors in an $85 million ... Read More
Warning

Beware of companies offering investments without the required authorisations

02/05/2018(0)
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Italy (Consob), Luxembourg (Commission de Surveillance du Secteur Financier – CSSF), Switzerland (Swiss Financial Market Supervisory Authority ... Read More
penalty image

Yahoo agrees to pay $35 million for misleading investors after data breach

27/04/2018(0)
The Securities and Exchange Commission (SEC) announced that Altaba formerly known as Yahoo! Inc. has agreed to pay a $35 million penalty to settle charges that it misled investors ... Read More
esma (European Securities and Markets Authority)

ESMA publishes a negative opinion on an accepted market practice on liquidity contracts notified by AMF

18/04/2018(0)
The European Securities and Markets Authority (ESMA) has published an opinion on the Accepted Market Practice (AMP) notified by the French Autorité des Marchés Financiers (AMF), which replaces the ... Read More
onestopbrokers-Regulators

Supervisory authorities around the world warn for unauthorised financial services firms

13/04/2018(0)
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Switzerland (Swiss Financial Market Supervisory Authority – FINMA), Hong Kong (Securities and Futures Commission – SFC), Austria ... Read More
initial coin offering

One of largest financial supervisory authorities in Europe released a letter about ICOs

02/04/2018(0)
BaFin, the Federal Financial Supervisory Authority in Germany and one of the largest financial supervisory authorities in Europe has published an advisory letter about Initial Coin Offerings and the ... Read More
esma (European Securities and Markets Authority)

ESMA updates its MiFID II Q&As on Market Structures and Transparency topics

30/03/2018(0)
The European Securities and Markets Authority (ESMA) has updated its Questions and Answers regarding transparency topics and market structures issues under the Market in Financial Instruments Directive (MiFID II) ... Read More
Broker Cyprus TopFX