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Regulators News

Cyprus Securities and exchange commission (cysec)

CySec witdraw the license suspension of a Cyprus Investment Firm

17/10/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform that, further to its Decision published on 31st March 2017, informs the public that, at its meeting dated ... Read More
wells-fargo

Wells Fargo Broker-Dealers to Pay $3.4 Million

17/10/2017(0)
The Financial Industry Regulatory Authority (FINRA) announced that it has ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC to pay more than $3.4 million ... Read More
FCA_regulator

FCA UK bans and fines financial advisors

13/10/2017(0)
The Financial Conduct Authority (FCA) has banned Mrs Colette Chiesa and Mr John Chiesa from working in financial services for integrity failings. Additionally, Mrs Chiesa has been fined £50,000 ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announced withdrawal of suspension of Cyprus Investment Firm authorisation

12/10/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued today an announcement to inform that, further to its Decision published on 13th July 2017, informs the public that, at ... Read More
red Fraud-Stamp image

International fraudulent scheme controller fined for more than $2 million

11/10/2017(0)
The Commodity Futures Trading Commission (CFTC) announced that the Honorable Joan B. Gottschall of the U.S. District Court for the Northern District of Illinois entered a Final Judgment and ... Read More
Cyprus Securities and exchange commission (cysec)

CySec authorised two new Cyprus Investment Firms

10/10/2017(0)
The Cyprus Securities and Exchange Commission (CySec), the financial regulatory authority of Cyprus, has issued announcements to inform that two new firms have been approved by the Commission as Cyprus ... Read More
red Fraud-Stamp image

Investment Adviser Charged in Multi-Million Dollar Options Trading Scheme

06/10/2017(0)
The Securities and Exchange Commission charged a Westchester, New York-based investment adviser with fraud stemming from lies to retail investors about the value of their investments in a Ponzi-like scheme. ... Read More
onestopbrokers-Regulators

Beware of unauthorised financial services entities

05/10/2017(0)
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), France (Authorité des Marchés Financiers – AMF), Switzerland (Swiss Financial Market Supervisory Authority – FINMA), Hong Kong ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announced that a Cyprus Investment Firm renounced its authorisation

04/10/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform  that, on 21st September 2017, the CIF AJF Financial Services Ltd (the ‘Company’), which provided investment services via ... Read More
esma (European Securities and Markets Authority)

ESMA finalises MiFID II’s Derivatives Tradings Obligation

02/10/2017(0)
The European Securities and Markets Authority (ESMA) has issued its final draft Regulatory Technical Standard (RTS) implementing the trading obligation for derivatives under the Markets in Financial Instruments Regulation ... Read More
Broker Cyprus TopFX