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Regulators

finra1

FINRA Sanctions Monex Securities Inc. $1.3 Million for Failing to Register and Supervise Foreign Personnel

31/12/2014(0)
Firm’s President Fined and Suspended The Financial Industry Regulatory Authority (FINRA) announced today that it has ordered Monex Securities Inc. to pay $1,100,000 in disgorgement of commissions, plus interest, ... Read More
Cyprus Securities and exchange commission (cysec)

CySec: acquisition of CIF (Cyprus Investment Firms) licence

30/12/2014(0)
The Cyprus Securities and Exchange Commission (CySec) the Cypriot financial regulatory authority, has announced that “Granfeld Wealth Management Ltd.“ has successfully obtained the CySec licence for CIF (Cyprus Investment ... Read More
moex

Equity Market liquidity support program to be extended to 2015

30/12/2014(0)
Moscow Exchange extends its Equity Market liquidity support program to 2015. Following the consultations with market participants, the Exchange will not change quote maintenance conditions in January 2015 with ... Read More
finra1

FINRA Fines Pershing LLC $3 Million for Customer Protection Rule Violations and Supervisory Failures

30/12/2014(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has censured and fined Pershing LLC $3 million for violating the Customer Protection Rule and for related supervisory failures. ... Read More
FCA_regulator

FCA to regulate seven additional financial benchmarks

30/12/2014(0)
The Financial Conduct Authority (FCA) will regulate seven additional major UK-based financial benchmarks in the fixed income, commodity and currency markets from 1 April 2015. This extends the FCA’s ... Read More
Cyprus Securities and exchange commission (cysec)

CySec: acquisition of CIF (Cyprus Investment Firms) licence

29/12/2014(0)
The Cyprus Securities and Exchange Commission (CySec) the Cypriot financial regulatory authority, has announced that “FX Primus Europe (CY) Ltd.“ has successfully obtained the CySec licence for CIF (Cyprus ... Read More
AMF logo

AMF Updates List of Unauthorised Binary Options Providers

23/12/2014(0)
The Autorité des Marchés Financiers (AMF), warns the investors by publishing a new updated list of websites offering binary options trading, for which no authorised investment services provider could ... Read More
SEC

Sec charges Investment firm and former CEO

23/12/2014(0)
The Securities and Exchange Commission today announced that investment management firm F-Squared Investments has agreed to pay $35 million and admit wrongdoing to settle charges that it defrauded investors ... Read More
ESMA logo

ESMA provides implementing rules for MiFID II

22/12/2014(0)
The European Securities and Markets Authority (ESMA) has published on December 19 its final technical advice (TA) and launches a consultation on its draft regulatory technical and implementing standards ... Read More
finra1

FINRA Fines Wells Fargo Advisors and Wells Fargo Advisors Financial Network $1.5 Million for Anti-Money Laundering Failures

19/12/2014(0)
Firms Failed to Subject Over 200,000 New Accounts to Identity Verification The Financial Industry Regulatory Authority (FINRA) today announced that it has ordered two St. Louis-based broker-dealers under common ... Read More
Broker Cyprus TopFX