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Regulators News

onestopbrokers-Regulators

Regulators release conclusions on the OTC derivatives regulatory regime

28/06/2017(0)
The Hong Kong Monetary Authority (HKMA) and the Securities and Futures Commission (SFC) today published conclusions on a joint consultation paper which proposed adjusting the scope of “OTC derivative ... Read More
ASIC_regulator

ASIC commences proceedings against former managing director of Banksia Securities Limited

27/06/2017(0)
ASIC has commenced civil penalty proceedings in the Federal Court of Australia in Melbourne against Patrick John Godfrey, former managing director of Banksia Securities Limited (In Liquidation) (Receivers and ... Read More
cftc-logo

Wall Street Pirate Management and its owner banned and to pay $125,000

27/06/2017(0)
Federal Court in New York Imposes Permanent Registration and Trading Bans against Defendants Gary Creagh and His Company, Wall Street Pirate Management, LLC, and Orders Them to Pay a ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announced more than 1 Million euro in total fines to Members of the Board of Directors of Cyprus Popular Bank

22/06/2017(2)
The Board of the Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform the public that it has investigated the compliance of: Cyprus Popular Bank Public ... Read More
ASIC_regulator

ASIC reports on supervision of registered liquidators for 2016

22/06/2017(0)
ASIC today released its sixth annual report into the supervision of registered liquidators. Report 532 ASIC regulation of registered liquidators: January to December 2016 details the supervisory, enforcement, stakeholder ... Read More
sec-logo

Robert Evans III Named Deputy Director in SEC’s Division of Corporation Finance

21/06/2017(0)
The Securities and Exchange Commission (SEC) announced that Robert Evans III has been named Deputy Director in the agency’s Division of Corporation Finance. He will join Deputy Director Shelley ... Read More
CySEC

CySec warns investors regarding Airfinance Pro

20/06/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued today an announcement to inform investors with regards to the company ‘Airfinance Pro Ltd’ (the ‘Company’), that: 1. The Company ... Read More
FCA_regulator

Chairman of the Financial Conduct Authority UK confirms plan to leave the FCA

20/06/2017(0)
John Griffith-Jones, Chairman of the Financial Conduct Authority (FCA) and the Payment Systems Regulator (PSR), has confirmed that he will leave both organisations at the end of his term ... Read More
osc ontario

The Ontario Securities Commission Publishes Report on Exempt Market Activity

16/06/2017(0)
The Ontario Securities Commission (OSC) today published OSC Staff Notice 45-715 2017 Ontario Exempt Market Report, which provides a snapshot of the current state of Ontario’s exempt market and ... Read More
afm-large

The Netherlands Financial Markets Regulator Fines International Card Services

16/06/2017(0)
The Netherlands Authority for the Financial Markets (AFM) announced that it is fining International Card Services (ICS), a wholly-owned subsidiary of ABN AMRO, for excessive credit limits. In March ... Read More
Broker Cyprus TopFX