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Regulators

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
swiss banks

Swiss National Bank introduces negative interest rates

18/12/2014(0)
Minimum exchange rate reaffirmed, and target range for threemonth Libor lowered into negative territory The Swiss National Bank (SNB) is imposing an interest rate of –0.25% on sight deposit account balances ... Read More
FCA_regulator

U.K. regulators hit hurdles on fixing benchmarks

18/12/2014(0)
U.K. regulators are expected to report in coming weeks on plans to fix global financial benchmarks. But efforts so far under way are already running into difficulties. Some market ... Read More
european-parliament

Ultimate owners of companies would have to be listed in central registers in EU countries

18/12/2014(0)
The ultimate owners of companies would have to be listed in central registers in EU countries, accessible to people with a “legitimate interest”, such as investigative journalists and other ... Read More
fed

Fed issued final rule to ensure the treatment of over-the-counter (OTC) derivatives, eligible margin loans, and repo-style transactions

17/12/2014(0)
The Board of Governors of the Federal Reserve System and Office of the Comptroller of the Currency today issued an interim final rule to ensure that the treatment of ... Read More
ESMA logo

Improvements needed in CRAs surveillance of structured finance credit ratings

17/12/2014(0)
The European Securities and Markets Authority (ESMA) has published a report on the findings of its investigation into the way credit rating agencies (CRA) conduct surveillance of their structured ... Read More
FCA_regulator

FCA warning against unauthorised firm

17/12/2014(0)
The Financial Conduct Authority (FCA), the British regulator, has issued a warning against “Keystone Corporate Group” (www.keystonecorporategrp.com). The warning recommends that the public exercises extreme caution when dealing with ... Read More
Central Bank of Ireland logo

Central Bank of Ireland Issues Warnings on Unauthorised Investment Firm/Investment Business Firm

16/12/2014(0)
The Central Bank of Ireland published the name of an unauthorised investment firm/investment business firm, Vantage Holdings Group Limited (Hong Kong). Vantage Holdings Group Limited (Hong Kong) is not authorised by the ... Read More
FCA_regulator

FCA warning against clone firm

16/12/2014(0)
The Financial Conduct Authority (FCA) of the United Kingdom has issued a warning to alert all recipients that: Artemis Fund Managers (clone of FCA authorised firm) Address: Cassini House, 152 ... Read More
FCA_regulator

Former Blackrock Asset Management Managing Director Banned

15/12/2014(0)
The Financial Conduct Authority (FCA) has banned Jonathan Paul Burrows from performing any function in relation to any regulated activities for not being fit and proper. Tracey McDermott the ... Read More
Broker Cyprus TopFX