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Regulators

ASIC_regulator

ASIC takes civil action against Make It Mine

26/11/2014(0)
ASIC has started legal action against Make It Mine Pty Ltd (MIM), seeking financial penalties against the company for breaching consumer credit laws, including the responsible lending obligations. ASIC’s ... Read More
SEC

SEC Charges HSBC’s Swiss Private Banking Unit With Providing Unregistered Services to U.S. Clients

26/11/2014(0)
The Securities and Exchange Commission today charged HSBC’s Swiss-based private banking arm with violating federal securities laws by failing to register with the SEC before providing cross-border brokerage and ... Read More
ASIC logo

Asic announce cancellation of credit licence and bans director

25/11/2014(0)
ASIC has cancelled the Australian credit licence (credit licence) of Net Finance (Corp) Pty Ltd (Net Finance) and banned its director, Mr Graham Tandy, from the credit industry for ... Read More
Cyprus Securities and exchange commission (cysec)

CySec: acquisition of CIF (Cyprus Investment Firms) licence

24/11/2014(0)
The Cyprus Securities and Exchange Commission (CySec) the Cypriot financial regulatory authority, has announced that “MAXIFLEX GLOBAL INVESTMENTS CORP LTD.” has successfully obtained the CySec licence for CIF (Cyprus ... Read More
onestopbrokers-Regulators

Supervisory Authorities issued warnings on unauthorised companies

24/11/2014(0)
The Central Bank of Ireland, the Italian financial market regulator CONSOB and the Bulgarian Financial Supervision Commission reported that: 1) Phoenix Financial Services (USA) and Miyako Mergers & Acquisitions (Japan) ... Read More
ESMA logo

ESMA approves Moody’s Investors Service EMEA Limited as a credit rating agency

24/11/2014(0)
The European Securities and Markets Authority (ESMA) has approved the registration of Moody’s Investors Service EMEA Limited, based in the UK, as a credit rating agency (CRA) under Article 16 of ... Read More
SEC

SEC Charges Penny Stock Company Executives in New Jersey With Issuing False Press Releases to Inflate Stock Price

24/11/2014(0)
The Securities and Exchange Commission today charged father-and-son executives at a New Jersey-based penny stock company for issuing false and misleading press releases while secretly selling thousands of their ... Read More
ASIC logo

Former financial adviser jailed for two years

21/11/2014(0)
A former Perth-based financial adviser today was jailed for two years for stealing almost $1.5 million worth of shares. Todd Michael King was sentenced to two years jail and ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announces the suspension of the authorisation of CIF ‘WGM Services Ltd’

20/11/2014(0)
The Cyprus Securities and Exchange Commission (CySec), the Cypriot financial regulatory authority, has announced that the authorisation of the Cyprus Investment Firm ‘WGM Services Ltd’, number 203/13, is suspended, pursuant to section ... Read More
ASIC logo

ASIC takes civil action against LM founder and former directors

20/11/2014(0)
ASIC has started legal action against LM Investment Management Ltd (LMIM) founder, Peter Charles Drake, and former directors, seeking financial penalties and banning orders following the collapse of the ... Read More
Broker Cyprus TopFX