Regulators

ASIC_regulator

ASIC cancels Gallop International’s Australian financial services licence

29/05/2017(0)
ASIC has cancelled the Australian financial service licence (AFS) licence of Gallop International Group Pty Ltd, formerly known as Weather Pro Exchange Pty Ltd (ACN 147 664 551) (Gallop). The cancellation ... Read More
ASIC_regulator

ASIC proposes next steps on regtech

26/05/2017(0)
ASIC will establish a new regtech industry liaison network, conduct a number of new technology trials using regtech applications and establish a ‘hackathon’ later this year to help identify ... Read More
osc ontario

OSC Publishes Paper on Responsive Market Regulation

26/05/2017(0)
The Ontario Securities Commission (OSC) today released A Framework for Responsive Market Regulation, a paper presented at Oxford University that addresses how Canadian regulators are responding to changes in ... Read More
esma (European Securities and Markets Authority)

ESMA consults on money market funds rules

25/05/2017(0)
The European Securities and Markets Authority (ESMA) has published a Consultation Paper (CP) on the Money Market Funds Regulation (MMFR). The CP contains proposals on draft technical advice (TA), ... Read More
SEC-Insider-Trading

Charges announced in insider trading scheme involving confidential U.S. Government information

25/05/2017(0)
The Securities and Exchange Commission announced charges in an alleged insider trading scheme involving tips of nonpublic information about government plans to cut Medicare reimbursement rates, which affected the stock ... Read More
FCA_regulator

FCA secures eight confiscation orders totalling almost £2.2 million

24/05/2017(0)
The Central Criminal Court has made confiscation orders against the two final defendants who were convicted of offences following one of the FCA’s largest investigations into unauthorised activity. The ... Read More
CNMV

The Spanish Regulator warns for unregistered financial services providers

24/05/2017(0)
The National Securities Market Commission (CNMV) has issued a warning to inform investors and public on the following entities: FIRST INVESTMENTS CAPITAL MARKETS WWW.FIRSTINVESTMENTSCAPITALMARKETS.COM WWW.FIRST-UNION-ESP.COM WWW.TOROPTION.COM/ES DGX SYSTEM LTD WWW.OPTIONCM.COM ... Read More
cftc-logo

Guardian Asset Group and its owner ordered to pay more than $1 Million

24/05/2017(0)
Federal Court Orders More than $1 Million in Restitution and Civil Monetary Penalties and Permanently Bans Andrew Kurzbard and His Florida-Based Company, Guardian Asset Group, LLC, for Engaging in ... Read More
ASIC_regulator

ASIC suspended Firm’s financial services licence

23/05/2017(0)
Australian financial services licence suspended for failing to lodge financial statements ASIC has suspended the Australian financial services (AFS) licence of NSW-based Divitiarum Audax Pty Limited (‘Divitiarum Audax’) from ... Read More
esma (European Securities and Markets Authority)

ESMA clarifies traded on a trading venue under MIFID II

22/05/2017(0)
Legal basis ESMA’s competence to deliver an opinion to competent authorities is based on Article 29(1)(a) of Regulation (EC) No 1095/2010 of the European Parliament and of the Council ... Read More
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