Advertise With Us
Sign up for our Newsletter
Join Our Directory
Open an Account

Regulators

asic

Trident Investment Management Pty Ltd pays $10,200 penalty

06/11/2014(0)
Trident Investment Management Pty Ltd (Trident), the Australian financial services representative for Australian Mutual Holdings Limited (AMH), has paid $10,200 in penalties after ASIC issued an infringement notice for ... Read More
bank-of-england

Bank of England widening access to the Sterling Monetary Framework

06/11/2014(0)
The Bank of England is today widening access to its Sterling Monetary Framework (SMF) to accept broker-dealers and central counterparties (CCPs). The changes introduced today follow on from the ... Read More
fed-logo-colour

Fed issues rule to prevent oversized U.S. financial firms

06/11/2014(0)
The U.S. Federal Reserve unveiled a final rule on Wednesday designed to prevent large financial firms from becoming so big that their failure could shake the core of the ... Read More
CySEC

CySec: acquisition of CIF (Cyprus Investment Firms) licence

05/11/2014(0)
The Cyprus Securities and Exchange Commission (CySec) the Cypriot financial regulatory authority, has announced that “Performance Ronnaru Company Ltd” has successfully obtained the CySec licence for CIF (Cyprus Investment Firms). ... Read More
leverage-loans-tom-Shannon---tmagArticle

A Recent Surge of Leveraged Loans Rattles Regulators

05/11/2014(0)
As regulators hunt for the next financial bubble, they are homing in on an obscure corner of Wall Street: the debt market where Tom Shannon’s company, a chain of ... Read More
amf

AMF publishes draft recommendation on quarterly and interim financial disclosure

05/11/2014(0)
In anticipation of the transposition of the revised Transparency Directive into national law, the AMF is publishing a draft recommendation to accompany the abolition in 2015 of the obligation ... Read More
FSMA belgium

FSMA-Suspensions of trading in a financial instrument

05/11/2014(0)
The Financial Services and Markets Authority (FSMA) has issued an announcement informing investors of the suspension of trading  in MDX Health on Euronext Brussels from 5/11/2014 at 09:00 AM until further update ... Read More
fma

FMA: New regulations approved to deliver a new era in financial markets

05/11/2014(0)
The Financial Markets Authority (FMA) welcomes today’s announcement from Commerce and Consumer Affairs Minister Paul Goldsmith, confirming the approval of the phase two regulations of the Financial Markets Conduct ... Read More
onestopbrokers-Regulators

Temporary prohibition of short selling: Portugal Telecom

05/11/2014(0)
The Financial Conduct Authority (FCA) notifies that it temporarily prohibits short selling in the following instrument under Articles 23 (1) and 26 (4) of Regulation (EU) No 236/2012 of ... Read More
FCA_regulator

FCA warning against unauthorised firms

05/11/2014(0)
The Financial Conduct Authority (FCA), the British regulator, has issued a warning against Prime Financial Management Services Limited (www.primefms.com), “Wolffe Commodities” (www.wolffecommodities.eu), “Aspen Greene Ltd” (www.aspengreene.com) and The Cash Monkey Ltd ... Read More
Broker Cyprus TopFX