Regulators

FCA_regulator

FCA UK sets out its approach to international firms; Authorisation and Supervision

25/02/2021(0)
The Financial Conduct Authority (FCA), the conduct regulator for financial services firms and financial markets in the UK, has published early in February its approach to the authorisation and ... Read More
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SEC charges Ripple and two executives

30/12/2020(0)
The Securities and Exchange Commission announced that it has filed an action against Ripple Labs Inc. and two of its executives, who are also significant security holders, alleging that ... Read More
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Brexit: Financial market participants whose activity might be impacted

29/12/2020(0)
The European Securities and Markets Authority (ESMA) remind stakeholders to be aware and prepared for changes that will occur from 1 January 2021. On 29 March 2017, the United ... Read More
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Interdealer broker to pay $7 Million

22/12/2020(0)
The Commodity Futures Trading Commission announced the U.S. District Court for the Southern District of New York entered a consent order against defendants TFS-ICAP LLC and TFS-ICAP Ltd., interdealer ... Read More
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The Cyprus Securities and Exchange Commission warns regarding unregulated entities

10/12/2020(0)
The Cyprus Securities and Exchange Commission (‘CySEC’) has issued a warning s to inform investors that the following websites do not belong to an entity which has been granted ... Read More
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Cyprus Investment Firm fined; The reason?

16/11/2020(0)
The Board of the Cyprus Securities and Exchange Commission (the ‘CySEC’) has issued an announcement to inform for the imposition of an administrative fine to a Cyprus Investment Firm ... Read More
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Record $114 million whistleblower award

29/10/2020(0)
The U.S. Securities and Exchange Commission (SEC), the regulatory authority in U.S. that monitors the activities of more than 27,000 entities in the securities industry, has issued a press ... Read More
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$1.2 Million penalty imposed in Forex trading scheme

20/10/2020(0)
The Commodity Futures Trading Commission (CFTC) has issued an announcement to inform that the U.S. District Court for the Eastern District of Pennsylvania entered an order of default judgment ... Read More
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J.P. Morgan Securities admits to manipulative trading in U.S. Treasuries

30/09/2020(0)
The Securities and Exchange Commission announced charges against J.P. Morgan Securities LLC, a broker-dealer subsidiary of JPMorgan Chase & Co., for fraudulently engaging in manipulative trading of U.S. Treasury ... Read More
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Introducing brokers to pay civil monetary penalty

28/09/2020(0)
The Commodity Futures Trading Commission (CFTC) issued orders filing and settling charges against three registered introducing brokers (IB)—EOX Holdings LLC of Houston, Texas; Futures International LLC of Chicago, Illinois; and OTC ... Read More
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