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Regulators News

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Dutch regulator AFM prepares advertising prohibition on Binary Options, Forex and CFDs

21/02/2017(2)
The Dutch regulator, Financial Markets Authority (AFM), has issued an announcement to inform that it starts a consultation period for responds in relation to proposed changes in advertisement of ... Read More
FCA_regulator

FCA reports on new evidence on liquidity in the UK corporate bond market

16/02/2017(0)
The Finacial Conduct Authority (FCA) of UK, has issued a press release to inform regarding new data for the liquidity in the UK’s corporate bond market over the past ... Read More
ASIC_regulator

ASIC cancels AFS licence of Sovereign MF Ltd

15/02/2017(0)
The Australian Securities & Investment Commission (ASIC) has issued an announcement to inform that the Commission has cancelled the Australian Financial Services (AFS) licence of Sovereign MF Ltd (in ... Read More
fma

FMA updates Strategic Risk Outlook and sets course for new era in conduct regulation

15/02/2017(0)
Today the Financial Markets Authority published its updated Strategic Risk Outlook (SRO). This is a foundation FMA document and sets out how the regulator identifies and prioritises the key ... Read More
ESMA logo

ESMA writes to EU Commission about MiFID II SIS Operating Broker Crossing Network

15/02/2017(0)
The European Securities and Markets Authority (ESMA) has written to the European Commission to raise its concern over the potential establishment of networks of systematic internalisers (SIs) by investment ... Read More
cftc-logo

CFTC charged individual and his companies for Gold investment fraud schemes

15/02/2017(0)
CFTC Charges Carlos Javier Ramirez and His Companies, Gold Chasers, Inc. and Royal Leisure International, Inc., with Misappropriation, Fraudulent Sales Solicitation, and Issuing False Statements in Fraud Schemes Involving ... Read More
The corporate logo of financial firm Morgan Stanley is pictured on a building in San Diego

Morgan Stanley agreed to pay an $8 million penalty and admit wrongdoing

15/02/2017(0)
The Securities and Exchange Commission (SEC) announced that Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing to settle charges related to single ... Read More
SFC-logo-office

SFC withdraws Restriction Notice issued to a broker in connection with client’s suspected insider dealing

14/02/2017(0)
The Securities and Futures Commission (SFC) has withdrawn the Restriction Notice issued to Kingsway Financial Services Group Limited (KFS) in connection with a client account that holds proceeds of ... Read More
FSMA belgium

FSMA warns for investment firms not authorised

14/02/2017(0)
The Financial Services and Markets Authority (FSMA), a financial regulator of Belgium, has issued an announcement to warn investors and public against the activities of various providers of/intermediaries in ... Read More
Monetary-Authority-of-Singapore

MAS announced changes to Finance Companies Regulations

14/02/2017(0)
The Monetary Authority of Singapore (MAS) announced today regulatory changes to strengthen the resilience of finance companies and enhance their ability to provide financing to small and medium sized ... Read More
Broker Cyprus TopFX