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Regulators

finra1

FINRA Sanctions First New York Securities L.L.C. $916,000 for Illegal Short Selling in Advance of 14 Public Offerings

26/03/2015(0)
Firm Fined $400,000 and Ordered to Pay More Than $500,000 in Disgorgement; Prohibited From Participating in Secondary Offerings for Six Months The Financial Industry Regulatory Authority (FINRA) announced today ... Read More
FCA_regulator

FCA wins appeal case against unregulated investment schemes

25/03/2015(0)
The Financial Conduct Authority (FCA) has received the judgment from The Court of Appeal hearing for Capital Alternatives and others which took place on 27 and 28 January 2015. ... Read More
amf

The Autorité des Marchés Financiers (AMF) updates the list of unauthorised websites offering binary options trading

24/03/2015(0)
The AMF is publishing a new updated list of websites offering binary options trading – last update was earlier this month – for which no authorised investment services provider could be ... Read More
FCA_regulator

FCA publishes its Business Plan for 2015/16 and announces details of new supervision and authorisation divisions

24/03/2015(0)
The Financial Conduct Authority has set out the key areas of work it will undertake in the forthcoming financial year with the publication of its Business Plan for 2015/16. It ... Read More
bank-of-israel

BOI: The Monetary Committee keeps the interest rate for April 2015 unchanged at 0.1 percent

24/03/2015(0)
Inflation data The Consumer Price Index for February declined by 0.7 percent, while forecasters had projected a decline of 0.6 percent, on average. The decline in electricity prices, which ... Read More
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Fed: Agencies Provide Feedback on Resolution Plans of Three Foreign Banking Organizations

24/03/2015(0)
Firms Required to Address Shortcomings in 2015 Submissions The Federal Reserve Board and the Federal Deposit Insurance Corporation (FDIC) on Monday announced that they had completed the reviews of ... Read More
IOSCO logo -large

Basel Committee and IOSCO revised implementation date for non-cleared derivatives margin rules

23/03/2015(0)
The International Swaps and Derivatives Association, Inc. (ISDA) published the following statement: The Basel Committee on Banking Supervision and the International Organization of Securities Commissions (IOSCO) released revisions to ... Read More
FSC Mauritius logo

FSC: Revocation of the Category 1 Global Business Licence

23/03/2015(0)
Revocation of the Category 1 Global Business Licence and withdrawal of Authorisation to act as Collective Investment Scheme of Lancelot Global PCC and The Four Elements PCC Notice is hereby ... Read More
ASIC logo

ASIC bans finance broker and cancels Australian Credit Licence

23/03/2015(0)
ASIC has banned Victorian finance broker Ms Meenakshi Devi Callychurn from engaging in credit activities for five years, and cancelled the Australian credit licence of her company Unique Mortgage ... Read More
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CFTC Issues an Exemption to the Hong Kong Securities and Futures Commission (HKSFC)

23/03/2015(0)
CFTC Issues an Exemption to the Hong Kong Securities and Futures Commission Permitting U.S. Customers to Deal Directly with Hong Kong Brokers The U.S. Commodity Futures Trading Commission (CFTC ... Read More
Broker Cyprus TopFX