Regulatory Sanctions

CySEC

CySec suspends the license of a Cyprus Investment Firm

20/03/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform investors and public that the authorisation of the Cyprus Investment Firm Boursotrade Ltd (‘the Company’), number 235/14, ... Read More
CySEC

CySec decided to wholly withdraw the license of a Cyprus Investment Firm

15/03/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform investors and public that the Commission decided to wholly withdraw the CIF authorization with number CIF ... Read More
CySEC

CySec imposed an administrative fine on a Cyprus Investment Firm

10/03/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform public that at the meeting held on 30th January 2017, the Board of the Commission decided to impose ... Read More
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
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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
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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
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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
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