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Regulators News

fma

FMA New Zealand reports: Guilty pleas entered in OPI Pacific Finance case

21/08/2015(0)
FMA, New Zealand’s Financial Markets Authority, has issued a press release to inform that: Two former directors of OPI Pacific Finance, Mark Lawrence Lacy and Jason Robert Duncan Maywald, ... Read More
FCA-logo

FCA warns against unauthorised firm

21/08/2015(0)
FCA has issued a warning to inform public against a firm that is not authorised by the Authority but has been targeting people in the UK. This firm is: ... Read More
Bcsc canada regulator

BCSC warns against unregistered forex trading platform

20/08/2015(0)
British Columbia Securities Commission has issued a press release to inform public for an unregistered on-line forex trading platform made unsolicited telephone calls to British Columbia (BC) residents, to ... Read More
CySEC

CySec announces acquisition of CIF (Cyprus Investment Firms) licence

20/08/2015(0)
The Cyprus Securities and Exchange Commission (CySec) the Cypriot financial regulatory authority, has announced that “TAKIBROKERS LIMITED“ has successfully obtained the CySec licence for CIF (Cyprus Investment Firms). The ... Read More
cftc

CFTC Orders Swap Dealer to Pay $200,000

20/08/2015(0)
CFTC Orders Swap Dealer INTL FCStone Markets, LLC to Pay a $200,000 Civil Monetary Penalty for Failure to Supervise Swaps Trading in Violation of CFTC Regulation 23.602 The U.S. ... Read More
SEC_logo

SEC Charges Citigroup and agreed to pay $15 million

20/08/2015(0)
SEC Charges Citigroup Global Markets for Compliance and Surveillance Failures The Securities and Exchange Commission  announced that Citigroup Global Markets has agreed to settle charges that it failed to ... Read More
FCA_regulator

FCA warns against clone and unauthorised firms

19/08/2015(6)
The Financial Conduct Authority (FCA) of the United Kingdom has issued a warning to alert investors and public that: Fraudsters are using or giving out the following details as ... Read More
SFC - Hong Kong

SFC recovers $23 million for investors from restoration orders against insider dealer Du Jun

19/08/2015(0)
Court appointed administrators, Mr John Lees and Mr Mat Ng of JLA Asia Limited, have completed distributions of restoration payments to all but three of the 297 counterparties to ... Read More
SEC- Headquarters

SEC Charges BNY Mellon With Foreign Corrupt Practices Act Violations

19/08/2015(0)
The Securities and Exchange Commission announced that BNY Mellon has agreed to pay $14.8 million to settle charges that it violated the Foreign Corrupt Practices Act (FCPA) by providing ... Read More
sec-logo

Citigroup Affiliates to Pay $180 Million to Settle Hedge Fund Fraud Charges

18/08/2015(0)
The Securities and Exchange Commission announced that two Citigroup affiliates have agreed to pay nearly $180 million to settle charges that they defrauded investors in two hedge funds by ... Read More
Broker Cyprus TopFX