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Regulators

iosco

CPMI and IOSCO issue report on the recovery of financial market infrastructures

16/10/2014(0)
The Committee on Payments and Market Infrastructures (CPMI) and the International Organization of Securities Commissions (IOSCO) have published a report entitled Recovery of financial market infrastructures. The report provides ... Read More
fma

FMA: New Zealanders underestimate investment risk and prefer lower risk investment options

15/10/2014(0)
Research conducted for the Financial Markets Authority (FMA) shows Kiwis are switched-on about straightforward, low-risk investment options. But when responding to questions about investments with more risk, people are ... Read More
ASIC_regulator

Biron Apparel Limited fined for failing to lodge financial reports

15/10/2014(0)
Australian public company, Biron Apparel Limited (Biron Apparel), has been convicted a second time for failing to lodge financial reports with ASIC, the Australian regulator, and hold annual general ... Read More
sec

SEC Announces Insider Trading Charges Against Former Financial Analyst at Pharmaceutical Company

15/10/2014(0)
The Securities and Exchange Commission announced insider trading charges against a Massachusetts man who allegedly tipped his friend with nonpublic information about potential acquisition targets of the pharmaceutical company ... Read More
FCA_regulator

FCA targets those most at risk of investment fraud

15/10/2014(0)
FCA in an effort to inform investors and prevent investment frauds has issued a campaign to raise awareness on the issue. Investment scams generally involve high-pressured selling, using boiler ... Read More
CSSF Luxembourg

CSSF imposes administrative fine on Roadchef Finance Ltd

13/10/2014(0)
CSSF, Luxembourg’s financial regulator, fined RoadChef Finance Limited according to Article 25(1) of the law of 11 January 2008 on transparency requirements for issuers of securities (the “Transparency Law“). The ... Read More
amf

AMF warns of the dangers of forex market trading for individual investors

13/10/2014(0)
The AMF, France’s financial markets regulator, has begun an online publicity campaign to increase public awareness of the risks of trading in the forex market, following the growing number of ... Read More
FCA_regulator

FCA warning against unauthorised firms

13/10/2014(0)
The Financial Conduct Authority (FCA), the British regulator, has issued a warning against “B2S Forex” (www.b2sforex.com) and “National Debt Assistance” (www.nationaldebtassistance.co.uk/ www.nationaldebtassistance.co.uk/gov). The warning recommends that the public exercises extreme ... Read More
ASIC_regulator

ASIC: Pepperstone exits the Japanese market

13/10/2014(0)
Pepperstone Group Ltd (Pepperstone) has agreed to cease providing financial services in Japan following inquiries by ASIC that revealed they were not licensed by the Japanese Financial Services Agency. ... Read More
onestopbrokers-Regulators

IOSCO Securities Market Risk Outlook 2014-15

13/10/2014(0)
IOSCO has issued an announcement claiming that two charts published in its Securities Market Risk Outlook 2014-15 have raised concerns regarding the accuracy of the underlying data on which ... Read More
Broker Cyprus TopFX