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Regulators

iosco

IOSCO Consults on Principles regarding the Custody of CIS Assets

13/10/2014(0)
The International Organization of Securities Commissions (IOSCO) has published a consultation report on Principles regarding the Custody of Collective Investment Schemes’ Assets. The report is aimed at gathering the ... Read More
cbi ireland

Central Bank of Ireland warning on Unauthorised Investment Firm

10/10/2014(0)
The Central Bank of Ireland published the name of an unauthorised investment firm/investment business firm, namely GEN Equities (Ireland and Switzerland). GEN Equities (Ireland and Switzerland) is not authorised by ... Read More
sec

SEC Charges Current and Former E*TRADE Subsidiaries With Improperly Selling Penny Stocks

10/10/2014(0)
The Securities and Exchange Commission announced an enforcement action against current and former brokerage subsidiaries of E*TRADE Financial Corporation that failed in their gatekeeper roles and improperly engaged in ... Read More
Cyprus Securities and exchange commission (cysec)

CySec on ESMA’s draft Regulatory Technical Standards

10/10/2014(0)
The Cyprus Securities and Exchange Commission (CySec) issued an announcement regarding Issuers with securities admitted to trading on the Cyprus Stock Exchange or any other regulated market and any ... Read More
cftc-image-jpeg

Vertical Integration Group LLC, to Pay over $2.5 Million in Monetary Sanctions

09/10/2014(0)
Federal Court Orders Florida Resident Richard Morello and His Florida Company, Vertical Integration Group LLC, to Pay over $2.5 Million in Monetary Sanctions for Engaging in Illegal, Off-Exchange Precious ... Read More
Cyprus Securities and exchange commission (cysec)

CySec warns on unauthorised firm

09/10/2014(0)
The Cyprus Securities and Exchange Commission (CySec) has issued a warning to inform the investors that ‘LARNACA FİNANS LTD’ (http://www.gkfx.com/LARNACA): 1. Is not permitted to provide investment and ancillary ... Read More
FSMA belgium

Approval of the modified market rules

08/10/2014(0)
The Financial Services and Markets Authority (FSMA) has announced that the modified market rules of the regulated markets organized by Euronext NV/SA (namely Euronext Brussels and the Euronext Brussels ... Read More
FCA_regulator

FCA warning against unauthorised firms

07/10/2014(0)
The Financial Conduct Authority (FCA), the British regulator, has issued a warning about “Global Investment Bank” (www.globalinvestmentbank.g-i-b.biz/home.htm) and “MTR Global” (www.mtrglobal.com). The warning recommends that the public exercises extreme ... Read More
financial-services-malta-mfsa

MFSA warning against unauthorised firm

06/10/2014(0)
The Malta Financial Services Authority (MFSA) has issued a warning against FOREX MMCIS Group warning the public, in Malta and abroad, that Forex MMCIS Group is NOT licensed nor awaiting to be licenced ... Read More
Finans

Danish regulator warns against unauthorised firm

06/10/2014(0)
The Danish Financial Supervisory Authority has been informed that Ventures GB (www.venturesgb.com) unsolicited has offered to carry out financial services in Denmark. The company’s address is Calle Pinar 5, ... Read More
Broker Cyprus TopFX