Advertise With Us
Sign up for our Newsletter
Join Our Directory
Open an Account

Regulatory Sanctions

finra1

FINRA fined full-service investment firm $2.9 Million

09/06/2016(0)
FINRA Sanctions Oppenheimer & Co. $2.9 Million for Unsuitable Sales of Non-Traditional ETFs and Related Supervisory Failures The Financial Industry Regulatory Authority (FINRA) announced today that it has fined ... Read More
sec-logo

SEC: Morgan Stanley to pay a $1 million penalty for failures to Safeguard Customer Data

09/06/2016(0)
The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney LLC has agreed to pay a $1 million penalty to settle charges related to its failures to ... Read More
CySEC

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

30/05/2016(0)
The Cyprus Securities and Exchange Commission (CySec) announces that, on its meeting of 25th April 2016, has decided, pursuant to sections 25(1)(b),(c) and 26(4)(b) of the Investment Services and Activities and ... Read More
CySEC

CySec suspends CIF UBFS Invest powered by Moneychoice Brokers Ltd

30/05/2016(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform that, following a decision in the meeting dated 23 May 2016, the authorisation of the Cyprus Investment ... Read More
CySEC

CySec informs: the licence of a Cyprus Investment Firm continue to be suspended

26/05/2016(0)
Following previous announcements dated April 7 and May 12, the Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform on its decision in the meeting dated ... Read More
CySEC

CySec: ACFX Forex Broker’s license continues to be suspended

12/05/2016(0)
Following previous announcement dated 7 April 2016, the Cyprus Securities and Exchange Commission, following a decision at the meeting dated 9 May 2016, announces that the authorisation of the Cyprus Investment ... Read More
CySEC

CySec wholly withdrawl the license of a Cyprus Investment Firm

19/04/2016(0)
The Cyprus Securities and Exchange Commission (CySec) the Cypriot financial regulatory authority, has issued an announcement informing that: On its meeting of 28 March 2016, has decided, pursuant, of ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announced the suspension of a Cyprus Investment Firm’s license

07/04/2016(0)
The Cyprus Securities and Exchange Commission (CySec), has announced that: The authorisation of the Cyprus Investment Firm ‘Atlas Capital Financial Services Ltd’ (‘the Company’), with number 085/07, is suspended, pursuant to section ... Read More
Cyprus Securities and exchange commission (cysec)

Mayzus Investment fined by CySec

31/03/2016(0)
Further to the announcement issued regarding the imposition of Administrative Fine on CIF Ouroboros Derivatives Trading Ltd, the Cyprus Securities and Exchange Commission (CySec) has issued a second announcement ... Read More
CySEC

CySec imposed an Administrative Fine of €235.000 on a Cyprus Investment Firm

31/03/2016(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform investors that, at its meeting held on January 18, 2016, the Commission decided to impose a ... Read More
Broker Cyprus TopFX