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Regulators

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
finma

FINMA reprimands Coop Bank for market abuse

29/10/2014(0)
FINMA, the Swiss financial regulator, condemned  the Coop Bank for manipulating the market price of its own bearer shares from 2009 to 2013. Its actions constituted a serious violation of supervisory ... Read More
SEC

SEC probing private equity performance figures

29/10/2014(0)
The U.S. Securities and Exchange Commission is examining how private equity firms report a key metric of their past performance when they market new funds to investors, as the ... Read More
cftc-image-jpeg

CFTC charges Texas-Based Financial Robotics, Inc. for Fraudulent Forex Scheme

27/10/2014(0)
The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Lee H. Rosenthal of the U.S. District Court for the Southern District of Texas entered an Order of ... Read More
FXCM_Wall_Logo

FXCM pays administrative penalty of $180,000 to Canadian regulator

27/10/2014(0)
The Financial and Consumer Services Tribunal (Tribunal) approved a settlement agreement between Forex Capital Markets, the Financial and Consumer Services Commission (FCNB) and the Manitoba Securities Commission, which requires ... Read More
onestopbrokers-Regulators

CySec and FSC warn against LiveFX

27/10/2014(0)
The Cyprus Securities and Exchange Commission (CySec) and the FSC Mauritius have recently been made aware that LiveFX is displaying a fraudulent copy of an Investment Dealer, Full Service Dealer (excluding ... Read More
Cyprus Securities and exchange commission (cysec)

CySec: acquisition of CIF (Cyprus Investment Firms) licence

27/10/2014(0)
The Cyprus Securities and Exchange Commission (CySec) the Cypriot financial regulatory authority, has announced that “Skanestas Investments Ltd” has successfully obtained the CySec licence for CIF (Cyprus Investment Firms). The ... Read More
SEC

SEC Sanctions Florida-Based Auditor for Circumventing Rules

27/10/2014(0)
The Securities and Exchange Commission sanctioned a Florida-based auditor for violating federal laws and regulations requiring lead audit partners to periodically rotate off their audit engagements with a publicly ... Read More
bulgaria

BFSC warns the public against unauthorised company

24/10/2014(0)
The Bulgarian Financial Supervision Commission (BFSC) warns the public against the activities of the company TRADERXP LTD. The Bulgarian Financial Supervision Commission warns that company TRADERXP LTD is not licensed ... Read More
FCA_regulator

FCA warning against unauthorised firms

24/10/2014(0)
The Financial Conduct Authority (FCA), the British regulator, has issued a warning against “Crown Capital Management” (www.crowncapitalmanagement.com), and “Burton Capital Partners” (www.burtoncapitalpartners.com, www.bcp.com). The warning recommends that the public ... Read More
Broker Cyprus TopFX