Regulators

ASIC_regulator

ASIC establishes Financial Advisers Consultative Committee

29/03/2017(0)
ASIC today announced the establishment of the Financial Advisers Consultative Committee, designed to improve industry engagement with its regulator, and revealed its initial membership. ‘ASIC has extensive engagement with ... Read More
fca-building

Tesco to pay redress for market abuse

28/03/2017(0)
The Financial Conduct Authority (FCA) today announces that Tesco plc and Tesco Stores Limited (Tesco) have agreed that they committed market abuse in relation to a trading update published ... Read More
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FINRA and Exchanges charge Lek Securities and CEO Samuel F. Lek

28/03/2017(0)
FINRA and Exchanges Charge Lek Securities and CEO Samuel F. Lek with Aiding and Abetting Securities Fraud Charges Also Include Market Access Rule, Supervisory and Other Violations The Financial ... Read More
FCA_regulator

The conduct regulator of UK warns about Prime FX

28/03/2017(0)
The conduct regulator for financial services firms and financial markets in the UK, the Financial Conduct Authority (FCA), has issued a press release to inform that the below firm ... Read More
Securities Exchange Commission

Overseas Traders Paying Back All Profits Plus Penalties in Insider Trading Case

27/03/2017(0)
The Securities and Exchange Commission today announced that three Peruvian traders have agreed to settle a pending case alleging that they traded on nonpublic information prior to the merger ... Read More
Merrill Lynch building is shown in downtown San Diego, California

SFC fined in total $15 million Merrill Lynch Far East and Merrill Lynch (Asia Pacific)

27/03/2017(0)
The Securities and Futures Commission (SFC) has resolved its concerns with Merrill Lynch Far East Limited (MLFE) and Merrill Lynch (Asia Pacific) Limited (MLAP) over internal control failures. Under the ... Read More
ASIC_regulator

ASIC cancels the AFS license of Financial Services firms

25/03/2017(0)
ASIC has cancelled the Australian financial services (AFS) licences of Rebate Financial Services Pty Ltd and Capstone Capital Pty Ltd for failing to comply with a number of their ... Read More
FSMA belgium

FSMA Belgium reports unauthorised Forex and Binary Options providers

24/03/2017(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
Reserve Bank of New Zealand

New Zealand left the Official Cash Rate unchanged

23/03/2017(0)
The Reserve Bank of New Zealand has issued today a press release to announce that the Official Cash Rate left unchanged at 1.75 percent. According the statement by Reserve ... Read More
ASIC_regulator

ASIC accepts enforceable undertaking from Barclays entities

23/03/2017(0)
Yesterday, ASIC accepted an enforceable undertaking (EU) from three Barclays foreign financial service providers (FFSPs): Barclays Capital Inc. (BCI) domiciled in the United States of America Barclays Capital Asia Limited ... Read More
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