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Regulators

Credit Suisse

FINMA finds deficiencies in anti-money laundering processes at Credit Suisse

19/09/2018(0)
The Swiss Financial Market Supervisory Authority FINMA has concluded two enforcement procedures against Credit Suisse AG. In the first procedure, FINMA identified deficiencies in the bank’s adherence to anti-money ... Read More
esma (European Securities and Markets Authority)

ESMA finds high level of diversity in national markets for structured retail products

18/09/2018(0)
The European Securities and Markets Authority (ESMA) has carried out a study of the EU market in structured retail products, from an investor protection perspective. The research breaks down ... Read More
CySEC logo

CySEC withdraw the license of two Cyprus Investment Firms

17/09/2018(0)
The Cyprus Securities and Exchange Commission (CySEC), the independent public supervisory Authority responsible to exercise effective supervision to ensure investor protection and the healthy development of the securities market ... Read More
penalty image

Broker-Dealer to pay $2.75 million penalty

14/09/2018(0)
The U.S. financial regulator Securities and Exchange Commission (SEC) announced that Convergex Execution Solutions LLC, now known as Cowen Execution Services LLC, will pay $2.75 million to settle charges ... Read More
binary-options

AMF: Restriction measures on CFDs and binary options is to protect investors

12/09/2018(0)
The French regulator Autorité des Marchés Financiers (AMF),  that regulates participants and products in France’s financial markets, reminds investors that the restriction measures for the CFDs and binary options agreed ... Read More
fraud - red stamp

Investment fraud led to the loss of more than £2.8m of investors’ money

10/09/2018(0)
The Financial Conduct Authority (FCA), the conduct regulator for financial services firms and financial markets in the UK, has issued an announcement to inform about FCA’s second largest ever ... Read More
red Fraud-Stamp image

Two men charged with fraud in fake trading accounts scheme

07/09/2018(0)
The Securities and Exchange Commission (SEC) charged two Michigan men with fraud for their roles in a fake accounts scheme perpetrated by a phony day-trading firm, Nonko Trading. The ... Read More
fined

CySEC fined LQD Markets Ltd €50.000

06/09/2018(0)
The Cyprus Securities and Exchange Commission (CySEC) has issued an announcement to inform that on its Board meeting held on July 2, 2018, decided to impose an administrative fine to ... Read More
FCA_regulator

Administrators appointed for Premier FX Limited

06/09/2018(0)
The Financial Conduct Authority (FCA), the conduct regulator for financial services firms and financial markets in the UK, has issued an announcement to inform investors and public that on ... Read More
Bafin

Beware: German Regulator ordered investment management firms to cease their activities

05/09/2018(0)
The Federal Financial Supervisory Authority (BaFin), the German financial regulator that ensures the proper functioning, stability and integrity of the German financial system, has issued an announcement to inform investors and ... Read More
Broker Cyprus TopFX