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Regulators News

financial-services-malta-mfsa

MFSA Malta warns for kbceuro.com

15/06/2016(0)
The financial regulator of Malta, Malta Financial Services Authority (MFSA), has issued a press release to warn investors and public in Malta and abroad regarding www.kbceuro.com. According to MFSA ... Read More
CySEC

CySec warns that individuals are falsely presenting themselves as CySec officers

13/06/2016(0)
The Cyprus Securities and Exchange Commission (CySec) has issued a warning to inform investors and the general public regarding individuals impersonating CySec officers : According to CySec’s warning: Following ... Read More
CySEC

CySec announced that a Cyprus Investment Firm renounced its authorisation

10/06/2016(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform that on 31 March 2016, the CIF Glestimon Management Limited, which provided investment services via the domain www.glestimon.com, renounced its authorization ... Read More
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SEC issues the second-largest Whistleblower Award of $17 Million

10/06/2016(0)
The Securities and Exchange Commission announced a whistleblower award of more than $17 million to a former company employee whose detailed tip substantially advanced the agency’s investigation and ultimate enforcement ... Read More
finra1

FINRA fined full-service investment firm $2.9 Million

09/06/2016(0)
FINRA Sanctions Oppenheimer & Co. $2.9 Million for Unsuitable Sales of Non-Traditional ETFs and Related Supervisory Failures The Financial Industry Regulatory Authority (FINRA) announced today that it has fined ... Read More
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SEC: Morgan Stanley to pay a $1 million penalty for failures to Safeguard Customer Data

09/06/2016(0)
The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney LLC has agreed to pay a $1 million penalty to settle charges related to its failures to ... Read More
CySEC

Cyprus Investment Firm renounced its CIF license

07/06/2016(1)
CySec has issued today an announcement to inform that on 23rd May 2016, the CIF Vinson Financial Ltd , which provided investment services via the domain www.vinsonfinancials.com, renounced its ... Read More
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SEC: Forex Trader Misrepresented Track Record and Hid Massive Losses

03/06/2016(0)
The Securities and Exchange Commission charged a New York City-based Forex trader with defrauding investors out of millions of dollars by misrepresenting her investment track record, the profitability of her ... Read More
CySEC

CySec reports that 63 regulated entities connected with Mossack Fonseca Panama Papers

03/06/2016(0)
CySec has issued today a report to inform regarding the results of its evaluation of 413 regulated entities (CIFs, ASPs, MC UCITS, AIFMs, AIFLNP) for possible relation with Mossack ... Read More
CySEC

CySec announced approved Administrative Services Providers

02/06/2016(0)
CySec has issued announcements to inform regarding the approval of two firms as Administrative Services Providers (ASP). According the announcements, the below firms have been approved: 1) Scivias Trust ... Read More
Broker Cyprus TopFX