Regulatory Sanctions

CySEC

CySec fined €63.000 a Cyprus Investment Firm

23/02/2017(0)
The Board of the Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform investors that, at its meeting held on January 23, 2017, decided to impose ... Read More
CySEC

CySec fined €175.000 a Cyprus Investment Firm

16/02/2017(1)
The Board of the Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform investors that, at its meeting held on December 05, 2016, decided to impose ... Read More
ASIC_regulator

ASIC cancels AFS licence of Sovereign MF Ltd

15/02/2017(0)
The Australian Securities & Investment Commission (ASIC) has issued an announcement to inform that the Commission has cancelled the Australian Financial Services (AFS) licence of Sovereign MF Ltd (in ... Read More
cftc-logo

CFTC charged individual and his companies for Gold investment fraud schemes

15/02/2017(0)
CFTC Charges Carlos Javier Ramirez and His Companies, Gold Chasers, Inc. and Royal Leisure International, Inc., with Misappropriation, Fraudulent Sales Solicitation, and Issuing False Statements in Fraud Schemes Involving ... Read More
The corporate logo of financial firm Morgan Stanley is pictured on a building in San Diego

Morgan Stanley agreed to pay an $8 million penalty and admit wrongdoing

15/02/2017(0)
The Securities and Exchange Commission (SEC) announced that Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing to settle charges related to single ... Read More
hsbc logo

The Securities and Futures Commission bans former employee of HSBC for life

13/02/2017(0)
The Securities and Futures Commission (SFC) has banned Ms Li Lee, a former employee of The Hongkong and Shanghai Banking Corporation Limited (HSBC), from re-entering the industry for life ... Read More
sec-logo

SEC is freezing brokerage accounts holding more than $29 million in illegal profits

13/02/2017(0)
SEC Charges Chinese Citizens Who Reaped Massive Profits From Insider Trading on Comcast-Dreamworks Acquisition Obtains Court Order Freezing More Than $29 Million in U.S. Accounts The Securities and Exchange ... Read More
cftc-logo

Oden Capital Management ordered to Pay a $100,000 Penalty

10/02/2017(0)
CFTC Orders John B. Oden and His Company, Oden Capital Management, LLC, to Pay a $100,000 Penalty for Failure to Register with the CFTC and Failure to Comply with ... Read More
SFC - Hong Kong

SFC reprimands and fines GMO-Z.com Forex HK Limited $1.6 million

09/02/2017(1)
The Securities and Futures Commission (SFC) has reprimanded and fined GMO-Z.com Forex HK Limited (GMOHK) $1.6 million for deficiencies in its order execution and slippage handling procedures, and failures ... Read More
deutche

FCA fines Deutsche Bank £163 million for serious anti-money laundering controls failings

31/01/2017(0)
Soon after the New York’s Department of Financial Services fined Deutsche Bank $425 million for Russian Mirror-Trading scheme, the U.K. regulators FCA announced a fined of £163,076,224 to Deutsche ... Read More
Broker Cyprus TopFX