The European Securities and Markets Authority (ESMA) has published four new questions in its Questions and Answers (Q&A) document, on the implementation of its Guidelines on the Alternative Performance ... Read More
The Dutch Authority for the Financial Markets (AFM) has imposed an administrative fine of € 10,000 on the Spanish company Lexon Capital S.L. (Lexon). The fine was imposed because ... Read More
The Cyprus Securities and Exchange Commission (CySec), the financial regulatory authority of Cyprus, has issued an announcement to inform that a new firm has been approved by the Commission ... Read More
The U.S. Commodity Futures Trading Commission (CFTC) has issued a press release to inform that the Federal Court in Florida Orders Anthony J. Klatch II, Lindsey Heim, and their ... Read More
The European Securities and Markets Authority (ESMA) is publishing three Consultation Papers (CP) on the Prospectus Regulation. The Prospectus Regulation, in the context of the Capital Markets Union action ... Read More
The Financial Conduct Authority (FCA), the conduct regulator for financial services firms and financial markets in the UK, has released a speech by Andrew Bailey, Chief Executive of the ... Read More
The Joint Committee, European Supervisory Authorities (ESAs), a forum with the objective of strengthening cooperation between the European Banking Authority (EBA), the European Insurance and Occupational Pensions Authority (EIOPA) ... Read More
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to make publish its decision about reach a settlement with a Cyprus Investment Firm (CIF). According the announcement: CySec, ... Read More
The Cyprus Securities and Exchange Commission (CySec), the financial regulatory authority of Cyprus, has issued an announcement to inform that a new firm has been approved by the Commission ... Read More
The Eastern Magistrates’ Court has convicted QMIS Securities Limited (QMIS) and its former responsible officer (RO), Mr Huang Kuang Cheng, of making false or misleading representations when submitting licensing ... Read More
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