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Regulators

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SEC Members Urge Including Brokers in Trading Safeguards

06/10/2014(0)
U.S. rules meant to guard against breakdowns in automated trading systems should be expanded to include brokerages that match orders away from regulated stock exchanges, according to two Securities ... Read More
Cyprus Securities and exchange commission (cysec)

CySec: Risks Associated with Investing in Contingent Convertible Instruments

03/10/2014(0)
The Cyprus Securities and Exchange Commission (CySEC) has published an announcement regarding the supervised entities, the stakeholders and the investing public to the statement published by the European Securities Markets ... Read More
FCA_regulator

FCA warning against unauthorised firm

03/10/2014(0)
The Financial Conduct Authority (FCA), the British regulator, has issued a warning about “MFEX Capital Management LLP / MFEX Capital Fund Investors / MFEX Enterprise Trust Plc” (www.mfexcapital.com). The ... Read More
fma

FMA issues warning about General Equity

30/09/2014(0)
The Financial Markets Authority (FMA) has issued a warning about General Equity (previously named General Equity Building Society), a New Zealand registered building society. The warning recommends that the ... Read More
CSSF Luxembourg

CSSF warning against unauthorised firm and domain

29/09/2014(0)
The Commission de Surveillance du Secteur Financier (CSSF) warns the public of the website www.lfcota.org of the allegedly named “Luxembourg Futures Commodities Options Trading Authority”, which purports to be ... Read More
FCA_regulator

FCA warning against unauthorised firms

29/09/2014(0)
The Financial Conduct Authority (FCA), the British financial regulator, has issued a warning informing investors that the firm “Barclay Lewis” (www.barclaylewis.com) and “SMS Fast Cash” (www.smsfastcash.com, www.sms-fastcash.net, www.sms-fast-cash.com) are not permitted to ... Read More
onestopbrokers-Regulators

Swedish regulator warns against unauthorised firm

26/09/2014(0)
The Swedish Financial Supervisory Authority (Finansinspektionen) has today published this statement in order to warn investors against dealing with unauthorised firm. Harrison & Bradley Financial Group , with headquarters in ... Read More
cftc-image-jpeg

CFTC Charges Ohio Executive Management Advisors L.L.C., with Fraud and $8.3 Million Ponzi Scheme

24/09/2014(0)
The U.S. Commodity Futures Trading Commission (CFTC) has filed a federal civil enforcement action in the U.S. District Court for the Southern District of Ohio against Defendants John R. ... Read More
SEC

US SEC gives largest-ever Whistleblower Award of more than $30M

23/09/2014(0)
The U.S. Securities and Exchange Commission, or SEC, announced Monday that it will give out the largest-ever whistleblower award to an anonymous tipster who lives outside the country. The ... Read More
FCA_regulator

FCA gives another fine to Barclays

23/09/2014(0)
The Financial Conduct Authority has imposed another fine to Barclays. As a result, Barclays is expected to be stung today with a £38m fine for failing to ensure adequate ... Read More
Broker Cyprus TopFX