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Regulators News

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Enforcement Director Andrew J. Ceresney to Leave SEC

09/12/2016(0)
The Securities and Exchange Commission today announced that Enforcement Director Andrew J. Ceresney will leave the agency by the end of the year. During his nearly four years as ... Read More
Belize

IFSC Belize warns about Global Trade Markets Ltd

08/12/2016(0)
The International Financial Services Commission of Belize (IFSC Belize) has issued a warning to inform that: It has come to the notice of the International Financial Services Commission of ... Read More
CySEC

CySec has issued a Circular to inform Cyprus Investment Frms about EBA guidelines

07/12/2016(0)
The Cyprus Securities and Exchange Commission (CySec) has issued a Circular in relation to the European Banking Authority ‘Revised guidelines on the further specification of the indicators of global ... Read More
Bcsc canada regulator

BCSC issued warnings against Binary Options trading platforms

07/12/2016(0)
The British Columbia Securities Commission (BCSC) has issued warnings to inform public and investors for online binary options trading platform providers. According the warnings, BCSC recently became aware that British ... Read More
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FINRA fined Credit Suisse Securities USA $16.5 million for AML and other violations

06/12/2016(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Credit Suisse Securities (USA) LLC $16.5 million for anti-money laundering (AML), supervision and other violations. FINRA found ... Read More
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Former CBOE Member to pay $21.8 Million in a Ponzi Scheme

01/12/2016(0)
CFTC Obtains $21.8 Million Default Judgment against Former CBOE Member Alvin Guy Wilkinson and his Connecticut-based Firms for Misappropriation of Customer Funds and Fraudulent Solicitation in Ponzi Scheme The ... Read More
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FCA charges sixth defendant in alleged investment fraud

24/11/2016(0)
The Financial Conduct Authority (FCA) UK has issued an announcement to inform that following an investigation of the Authority, Charanjit Sandhu (DOB: 03/12/1989) of Grays, Essex, appeared today before ... Read More
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CONSOB Italy warns for Alfatrade

23/11/2016(0)
The Commissione Nazionale per le Società e la Borsa (CONSOB), the regulatory authority of Italy, has issued a warning to inform public and investors for companies not authorised to provide investment ... Read More
finra1

FINRA fines investment firm for $3.4 Million

23/11/2016(0)
FINRA Sanctions Oppenheimer & Co. $3.4 Million for Reporting Violations, Failing to Comply With Discovery Obligations in Arbitrations, and Other Supervisory Failures The Financial Industry Regulatory Authority (FINRA) announced ... Read More
Belize

IFSC warns that XMAXBIT posted forged company certificate

22/11/2016(0)
The International Financial Services Commission of Belize (IFSC) has issued a warning to inform that: It has come to the notice of the International Financial Services Commission of Belize ... Read More
Broker Cyprus TopFX