Regulators

Bafin

BaFin release for global systemically important institutions

15/12/2014(0)
When global systemically important credit institutions fail – i.e. banks that are too big, too complex or too interconnected with other market participants to be able to exit the ... Read More
Reserve Bank of New Zealand

Reserve Bank of New Zealand release

15/12/2014(0)
The Reserve Bank is seeking Registrations of Interest (ROI) from potential vendors for the procurement of a Real-Time Gross Settlement System and a Security Settlement System with a Depository. ... Read More
ESMA logo

Addition by ESMA on its list of authorised CCPs under EMIR

15/12/2014(0)
ESMA has today added the Holland Clearing House B.V. to its list of authorised CCPs under the European Markets Infrastructure Regualtion (EMIR). EMIR requires EU-based CCPs to be registered ... Read More
Four-US-Banks

Barclays among 10 banks fined for abusing research to win deals

12/12/2014(0)
TEN GLOBAL banks were fined a total of $43.5m (£27.7m) by US regulator Financial Industry Regulatory Authority (FINRA)  yesterday for their attempts to misuse analysts’ research to gain lucrative jobs on Toys ... Read More
Cyprus Securities and exchange commission (cysec)

CySec: acquisition of Administrative Services Providers (ASP) licence

11/12/2014(0)
The Cyprus Securities and Exchange Commission (CySec), the Cypriot financial regulatory authority, has announced that the following firm has successfully obtained the CySec licence to operate as Administrative Services ... Read More
SEC

SEC Penalizes Morgan Stanley for Violating Market Access Rule

11/12/2014(0)
The Securities and Exchange Commission today penalized Morgan Stanley & Co. LLC for violating the market access rule when it failed to uphold credit limits for a customer firm ... Read More
onestopbrokers-Regulators

Supervisory Authorities issued warnings on unauthorised companies

10/12/2014(0)
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Ireland (Central Bank of Ireland), and Luxembourg (Commission de Surveillance du Secteur Financier – CSSF), report the following ... Read More
hkex

HKEx to Discontinue Trading of its Three-Year Exchange Fund Note Futures

10/12/2014(0)
Hong Kong Exchanges and Clearing Limited (HKEx) is discontinuing trading in its Three-Year Exchange Fund Note (EFN) Futures because the Hong Kong Monetary Authority will stop issuing Three-Year EFNs ... Read More
Consob-logo

Warning issued by CONSOB for not authorised firms offering investment services

10/12/2014(0)
The supervisory authority of Italy CONSOB has issued a report warning for the following companies offering investment services without the required authorisation. the company Up & Down Marketing Ltd ... Read More
Bank of Russia, Moschow

Bank of Russia: On cancelling licences of professional securities market participant

10/12/2014(0)
The Central Bank of the Russian Federation (Bank of Russia) has released a notice yesterday to inform that: On 4 December 2014, due to the revocation of the banking licence from the ... Read More
Broker Cyprus TopFX