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

Regulators

iosco

IOSCO publishes strategic framework for Investor Financial Education

04/11/2014(0)
The International Organization of Securities Commissions today published a final report on the Strategic Framework for Investor Education and Financial Literacy, which describes IOSCO’s role in promoting investor education ... Read More
Cyprus Securities and exchange commission (cysec)

CySec imposes administrative fine of €100.000

03/11/2014(0)
The Cyprus Securities and Exchange Commission (SEC) has issued an announcement to inform investors that, in its meeting held on October 20, 2014, decided to impose a total administrative ... Read More
FCA_regulator

FCA warning against clone firm

03/11/2014(0)
The Financial Conduct Authority (FCA) of the United Kingdom has issued a warning to alert all recipients that: Pritchards Stockbrokers (clone of FCA authorised firm) Address: Roddis House, Old ... Read More
ASIC_regulator

Australian man jailed following $260,000 fraud

31/10/2014(0)
ASIC jailed today a New South Wales Central Coast man for 18 months, for committing a $260,000 fraud. William John Jones, of Blue Haven, pleaded guilty in April 2014 ... Read More
onestopbrokers-Regulators

SEC and FINRA Warn Investors About Penny Stock Scams

31/10/2014(0)
The Securities and Exchange Commission’s Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) issued an alert warning investors that some penny stocks being aggressively ... Read More
FCA_regulator

FCA warning against clone firms

31/10/2014(0)
The Financial Conduct Authority (FCA) of the United Kingdom has issued a warning to alert all recipients that: 1) Sapien Capital Limited Website: http://www.sclforex.co.uk/en/ 2) PMG Forex  Email: info@pmgwaihui.com, ... Read More
sec

SEC charges investment advisory firm and top officials for custody rule violations

30/10/2014(0)
The Securities and Exchange Commission (SEC) announced charges against an investment advisory firm and three top officials for violating the “custody rule” that requires firms to follow certain procedures ... Read More
FCA_regulator

FCA fines Sesame Ltd for ‘pay-to-play’ arrangements

30/10/2014(0)
Sesame Ltd, the UK’s largest network of financial advisers, has been fined £1,598,000 by the Financial Conduct Authority (FCA) for setting up a pay-to-play scheme. Sesame’s arrangement effectively undermined ... Read More
CSSF Luxembourg

Suspension of payments for Assya Asset Management Luxembourg S.A.

29/10/2014(0)
Luxembourg’s financial regulator has issued an announcemnt that in accordance with Article 60-2 of the law of 5 April 1993 on the financial sector, the company ASSYA ASSET MANAGEMENT ... Read More
FCA_regulator

FCA fines Yorkshire Building Society £4,135,600

29/10/2014(0)
Financial Conduct Authority (FCA) has fined Yorkshire Building Society (YBS) with the amount of £4,135,600 for failings when dealing with its mortgage customers experiencing payment difficulties. Between 1 October 2011 ... Read More
Broker Cyprus TopFX