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Regulators

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SEC: Forex Trader Misrepresented Track Record and Hid Massive Losses

03/06/2016(0)
The Securities and Exchange Commission charged a New York City-based Forex trader with defrauding investors out of millions of dollars by misrepresenting her investment track record, the profitability of her ... Read More
CySEC

CySec reports that 63 regulated entities connected with Mossack Fonseca Panama Papers

03/06/2016(0)
CySec has issued today a report to inform regarding the results of its evaluation of 413 regulated entities (CIFs, ASPs, MC UCITS, AIFMs, AIFLNP) for possible relation with Mossack ... Read More
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FINRA Fines E*Trade Securities $900,000

03/06/2016(0)
The Financial Industry Regulatory Authority (FINRA) announced that it has censured and fined E*Trade Securities LLC $900,000 for failing to conduct an adequate review of the quality of execution ... Read More
CySEC

CySec announced approved Administrative Services Providers

02/06/2016(0)
CySec has issued announcements to inform regarding the approval of two firms as Administrative Services Providers (ASP). According the announcements, the below firms have been approved: 1) Scivias Trust ... Read More
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ESMA publishes Q&A on CFDs and other speculative products such as binary options and rolling spot forex

02/06/2016(0)
The European Securities and Markets Authority (ESMA) has published today an updated version of its question and answer document (Q&A) on the application of the Markets in Financial Instruments Directive (MiFID) ... Read More
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Brokerage firm agreed to pay $300,000 to settle SEC charges

02/06/2016(0)
The Securities and Exchange Commission today charged a Wall Street-based brokerage firm with failing to sufficiently evaluate or monitor customers’ trading for suspicious activity as required under the federal ... Read More
sec

SEC announced: Mortgage Company and Executives Settle Fraud Charges

01/06/2016(0)
The Securities and Exchange Commission today announced that a California-based mortgage company and six senior executives agreed to pay $12.7 million to settle charges that they orchestrated a scheme ... Read More
ASIC_regulator

ASIC cancels the AFS licence of TMK Index Limited

01/06/2016(0)
ASIC has cancelled the Australian financial services (AFS) licence of TMK Index Limited (AFS Licence No 314823) for failing to comply with a number of key obligations, including requirements ... Read More
amf

ACPR and the AMF published websites offering investments on the unregulated Forex market in France

31/05/2016(0)
The French Prudential Supervision and Resolution Authority (ACPR) and the Autorite des marches financiers (AMF) warn the public against the activities of several websites and entities proposing Forex investments ... Read More
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CONSOB warns for pfxbank and fx-inter

31/05/2016(0)
The Commissione Nazionale per le Società e la Borsa(CONSOB), the regulatory authority of Italy, has issued an announcement to inform public and investors for firms not authorised to provide ... Read More
Broker Cyprus TopFX