Regulators

fraud - red stamp

Long Island Town and Former Top Official Charged With Defrauding Municipal Investors

23/11/2017(0)
The Securities and Exchange Commission (SEC) charged Oyster Bay, New York, and its former top elected official with defrauding investors in the town’s municipal securities offerings by hiding the ... Read More
JPMorgan

J.P. Morgan Securities fined $1.25 Million

22/11/2017(0)
The Financial Industry Regulatory Authority (FINRA) announced it has fined J.P. Morgan Securities, LLC $1.25 million for failing to conduct timely or adequate background checks on approximately 8,600, or ... Read More
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Individual And His Company Ordered To Pay Millions In Monetary Penalties For Investment Fraud

20/11/2017(0)
The Commodity Futures Trading Commission (CFTC) obtained $1,127,855 in restitution for defrauded pool participants and $3,383,565 in civil monetary penalties in a federal court Default Judgment Order against Defendants ... Read More
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FCStone Financial Ordered To Pay A Penalty

17/11/2017(0)
The Commodity Futures Trading Commission (CFTC) issued an order filing and settling charges against FCStone Merchant Services LLC (FCStone Merchant) for entering into multiple noncompetitive trades and against INTL ... Read More
bitcoins

European Authority Highlights The Risks of Initial Coin Offerings

15/11/2017(0)
The European Securities and Markets Authority (ESMA) has issued two Statements on Initial Coin Offerings (ICOs), one on risks of ICOs for investors and one on the rules applicable ... Read More
digital-currencies-2

FCA UK Warns About Investing In Cryptocurrency CFDs

15/11/2017(0)
The Financial Conduct Authority, the conduct and prudential regulator for financial services firms and financial markets in the UK, has issued a warning to inform public and investors in ... Read More
ASIC_regulator

Financial planner sentenced to 10 years imprisonment for fraud

14/11/2017(0)
The former Principal of Sherwin Financial Planners Pty Ltd and Chairman of Wickham Securities Ltd, Bradley Thomas Sherwin, was sentenced in the Brisbane District Court to a total of ... Read More
FCA_regulator

Capita Financial Managers to pay up to £66 million to those investors who suffered loss of an investment

13/11/2017(0)
The Financial Conduct Authority has today announced that Capita Financial Managers Limited (CFM) has been publicly censured and will pay up to £66 million to those investors who suffered ... Read More
ESMA logo

ESMA Released An Update Of Its Q&As On MiFIDII/MiFIR Investor Protection Topics

13/11/2017(0)
The European Securities and Markets Authority (ESMA) has added 4 new Q&As to its Questions and Answers (Q&A) document on the implementation of investor protection topics under the Market ... Read More
esma (European Securities and Markets Authority)

MiFID II: ESMA Consults On Systematic Internalisers’ Quote Rules

10/11/2017(0)
The European Securities and Markets Authority (ESMA) has opened a public consultation on a proposed amendment to the Regulatory Technical Standard (RTS 1) which details the implementation of the ... Read More
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