Regulators

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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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Civil enforcement action filing in $4.75 Million Forex Ponzi Scheme

23/09/2020(0)
The Commodity Futures Trading Commission (CFTC) announced the filing of a civil enforcement action in the United States District Court for the Middle District of Florida against 10 defendants ... Read More
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FCA publicly censures former Worldspreads CEO for market misconduct

14/09/2020(0)
The Financial Conduct Authority (FCA) published a Final Notice in respect of Conor Foley, the former Chief Executive Officer of Worldspreads, publicly censuring him for market abuse and banning ... Read More
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Individuals and companies charged in $165 million global Binary Options fraud scheme

04/09/2020(0)
The Commodity Futures Trading Commission (CFTC) announced on 02 September, 2020 the filing of a civil enforcement action in the U.S. District Court for the Western District of Texas ... Read More
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Interactive Brokers LLC to pay more than $12 million for AML and Supervision violations

17/08/2020(0)
The Commodity Futures Trading Commission (CFTC) filed and simultaneously settled charges against Interactive Brokers LLC, a registered futures commission merchant (FCM), for failing to diligently supervise its officers’, employees’, ... Read More
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CySEC decided to reach a settlement with a Cyprus Investment Firm

05/08/2020(0)
The Cyprus Securities and Exchange Commission (CySEC) has today issued an announcement to inform about its decision for reaching a settlement with a Cyprus Investment Firm (CIF). With this announcement, ... Read More
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