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Regulators News

FCA_regulator

FCA UK issued an update on regulatory sandbox

15/06/2017(0)
The Financial Conduct Authority of UK (FCA UK) today provides an update on its regulatory sandbox and unveils the list of firms that were successful in their applications to ... Read More
ASIC_regulator

UBS Securities pays penalties

15/06/2017(0)
UBS Securities pays $280,000 in infringement notice penalties UBS Securities Australia Limited (‘UBS’) has paid penalties totalling $280,000 to comply with two infringement notices given to it by the ... Read More
cftc-logo

NAAM and its owner to pay more than $1.6 million in illegal precious metals transactions

14/06/2017(0)
Federal Court Orders Florida-Based North American Asset Management, LLC, Alexi Bethel, and Steven Labadie to Pay More than $1.6 Million in Restitution and a Civil Monetary Penalty for Engaging ... Read More
esma (European Securities and Markets Authority)

ESMA Issues Positive Opinion on Short Selling Ban by Spanish CNMV

12/06/2017(0)
The European Securities and Markets Authority (ESMA) has issued an official opinion agreeing to an emergency short selling prohibition, for a period of one month, by the Comisión Nacional ... Read More
red Fraud-Stamp image

CFTC Charged a Company and its Owner in a More than $11 Million Trading Futures fraud scheme

09/06/2017(0)
CFTC Charged Seattle Residents Sung Hong a/k/a Lawrence or Laurence Hong, Hyun Joo Hong a/k/a Grace Hong, and Her Company Pishon Holding LLC with Fraudulently Soliciting More than $11 ... Read More
ASIC_regulator

Citigroup Global Markets Australia pays $50,000 in infringement notice penalty

09/06/2017(0)
Citigroup Global Markets Australia Pty Ltd (‘Citigroup’) has paid a penalty of $50,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (‘MDP’). The ... Read More
esma (European Securities and Markets Authority)

ESMA appoints new chair of the Investment Management Standing Committee

08/06/2017(0)
The Board of Supervisors of the European Securities and Markets Authority (ESMA) has appointed Martin Moloney, Head of Markets Policy Division of the Central Bank of Ireland to serve ... Read More
ASIC_regulator

Former financial planner of Westpac banned for five year

08/06/2017(0)
ASIC has banned Mr Sudhir Kumar Sinha, a financial planner from Western Australia, from providing financial services until 2 June 2022. Mr Sinha was an employed representative of Westpac ... Read More
Austrian-FMA

The FMA warns: the number of dubious providers in the Austrian financial market remains high

07/06/2017(0)
Austria’s independent, autonomous and integrated supervisory and resolution authority FMA informs in relation to Austrian financial market Investor Warnings issued. According the announcement: In 2016, the FMA initiated a total ... Read More
Anti Money Laundering

Brokerage Firm Charged With Failing to Comply With Anti-Money Laundering Laws

06/06/2017(0)
The Securities and Exchange Commission (SEC) has issued an announcement to inform that the Commission charges a Salt Lake City-based brokerage firm with securities law violations related to its alleged ... Read More
Broker Cyprus TopFX