Regulators

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US financial services company will pay millions to settle charges; The reason?

17/08/2018(0)
The Securities and Exchange Commission (SEC) has issued an announcement to inform that Ameriprise Financial Services Inc. will pay $4.5 million to settle charges. The Reason According to SEC’s ... Read More
Bafin

German financial regulator warns against unlicensed CFDs, Binary and Forex online trading platforms

13/08/2018(0)
BaFin, the financial supervisor for the banking, securities and insurance sectors in Germany, and one of the largest financial supervisory authorities in Europe, has issued an announcement to warn ... Read More
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CySEC informs Market Participants for the timely request of authorisation following Brexit

10/08/2018(0)
The Cyprus Securities and Exchange Commission (CySEC) has issued an announcement to draw the attention of all Market Participants to the Public Statement issued by the European Securities and ... Read More
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Cyprus Investment Firm paid €250.000 to settle possible violations

09/08/2018(0)
The Cyprus Securities and Exchange Commission (CySEC), the independent public supervisory Authority responsible for the supervision of the investment services market in Cyprus, has issued an announcement to inform that ... Read More
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Financial regulators consult on creation of a Global Financial Innovation Network

08/08/2018(0)
The Financial Conduct Authority (FCA) has, in collaboration with 11 financial regulators and related organisations, announced the creation of the Global Financial Innovation Network (GFIN), building on the FCA’s ... Read More
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Beware of firms that use misleading information to solicit investors

07/08/2018(0)
The Securities and Exchange Commission (SEC) announced that it has updated its list of unregistered firms that use misleading information to primarily solicit non-U.S. investors, adding 16 soliciting entities, ... Read More
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IOSCO issues recommendations to help trading venues manage extreme volatility

06/08/2018(0)
The International Organization of Securities Commissions (IOSCO), the leading international policy forum for securities regulators that is recognized as the global standard setter for securities regulation, has issued an ... Read More
esma (European Securities and Markets Authority)

MiFID II ESMA: Data for the systemic internaliser calculations for equity, equity-like instruments and bonds

03/08/2018(0)
The European Securities and Markets Authority (ESMA) has published data for the systemic internaliser calculations for equity, equity-like instruments and bonds under the Markets in Financial Instruments Directive (MiFID ... Read More
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Beware of unauthorised investment and financial services providers

31/07/2018(1)
Financial Regulators around the world issued warnings to inform investors and public for companies and websites that are offering investment, financial and insurance services without the required authorisation. The ... Read More
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European Central Bank released monetary policy decision on interest rates

27/07/2018(0)
At its meeting on July 26, 2018, the Governing Council of the European Central Bank decided that the interest rate on the main refinancing operations and the interest rates on ... Read More
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