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Regulators News

trading-venues

U.S Regulator Approves Exemption From SEF Registration for MTFs and OTFs Authorized Within the EU

11/12/2017(0)
The Commodity Futures Trading Commission (CFTC) announced the issuance of an order exempting certain multilateral trading facilities (MTFs) and organised trading facilities (OTFs) authorized within the European Union (EU) ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announced the authorisation of new Cyprus Investment Firms

07/12/2017(0)
The Cyprus Securities and Exchange Commission (CySec), the financial regulatory authority of Cyprus, has issued two announcements to inform that new companies have been approved by the Commission as ... Read More
scam

Four Guilty In Relation To £1.4 Million Investment Scheme

04/12/2017(0)
In a criminal prosecution brought by the Financial Conduct Authority (FCA), Samrat Bhandari and Dr Muhammad Aleem Mirza have been found guilty for their roles in operating an investment ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announced withdraw of the suspension of a Cyprus Investment Firm’s authorisation

01/12/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform the public that at its meeting dated 27 November 2017, decided to withdraw the suspension of the ... Read More
ASIC_regulator

ASIC reports on cyber resilience assessments of financial markets firms

30/11/2017(0)
An ASIC report on the cyber resilience of over 100 firms operating across Australia’s financial markets has shown a growing understanding of cyber risks, but there is still some ... Read More
red Fraud-Stamp image

Individuals And Their Companies Ordered To Pay Millions For Futures Trading Fraud

29/11/2017(0)
The Commodity Futures Trading Commission (CFTC) obtained a Consent Order against Defendants Joseph Dufresne (a/k/a/ Joseph James) and Megan Renkow (a/k/a Megan James), both of Palos Verdes Estates, California, ... Read More
ASIC_regulator

Volkswagen Financial Services Australia pays $216,000 penalty for misleading advertising

28/11/2017(0)
Volkswagen Financial Services Australia Pty Ltd has paid a penalty of $216,000 after ASIC issued 20 infringement notices for alleged misleading statements made by VWFSA as part of its ... Read More
SFC-logo-office

Joint reviews by HKMA and SFC on managing conflicts of interest in financial groups

28/11/2017(0)
The Hong Kong Monetary Authority (HKMA) and the Securities and Futures Commission (SFC) issued a circular highlighting observations from their recent joint thematic reviews on the potential conflicts of interest ... Read More
onestopbrokers-Regulators

Financial Market Supervisory Authorities Around The World Issued Warnings

27/11/2017(0)
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Holland (Netherlands Authority for the Financial Markets – AFM), Switzerland (Swiss Financial Market Supervisory Authority – FINMA), ... Read More
fraud - red stamp

Long Island Town and Former Top Official Charged With Defrauding Municipal Investors

23/11/2017(0)
The Securities and Exchange Commission (SEC) charged Oyster Bay, New York, and its former top elected official with defrauding investors in the town’s municipal securities offerings by hiding the ... Read More
Broker Cyprus TopFX