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Regulators

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
finma

FINMA initiates bankruptcy proceedings against Espirito Santo

22/09/2014(0)
The Swiss Financial Market Supervisory Authority FINMA initiated bankruptcy proceedings against Banque Privée Espírito Santo SA. FINMA found that the bank, which has been in voluntary liquidation since July ... Read More
Four-US-Banks

Regulators Weigh Delay for Separating Banks’ Swaps Units

19/09/2014(0)
U.S. banks may get another year to shift some swaps trading from their government-insured units as regulators respond to demands to give them more time, according to two people ... Read More
sec

SEC probing Goldman Sachs internship

19/09/2014(0)
U.S. regulators are investigating a Goldman Sachs Group Inc (GS.N) internship for the brother of a former official at Libya’s sovereign wealth fund and perks allegedly offered by the ... Read More
ASIC_regulator

Australian firm pays $20,400 penalty for making misleading representations

18/09/2014(0)
The Australian regulator has charged Invast Financial Services Pty Ltd (Invast), an Australian financial services (AFS) licensee based in Sydney, with the amount of $20,400 in penalties after ASIC issued ... Read More
sec

SEC fines trading firm for violating net capital rule for broker-dealers

18/09/2014(0)
The U.S. Securities and Exchange Commission has charged a New York-based high frequency trading firm with violating the net capital rule that requires all broker-dealers to maintain minimum levels ... Read More
FCA_regulator

FCA halts three debt management firms from making payments

18/09/2014(0)
The Financial Conduct Authority has issued a warning that debt management customers of Gregson and Brooke Financial Services (trading as Expert Money Solutions), One Tick (trading as Debt Savers Direct and 1-Tick) and ... Read More
CySEC

CySec: Council regulations over Ukraine

18/09/2014(0)
The Cyprus Securities and Exchange Commission (CySec) informs the Cyprus Investment Firms, Management Companies, Administrative Services Companies and Regulated Markets (‘the Regulated Entities’) about the publication in the Official Journal ... Read More
asic

ASIC and MAS sign a Memorandum of Understanding

17/09/2014(0)
The Australian regulator, ASIC, and the Monetary Authority of Singapore (MAS) have sign a Memorandum of Understanding (MOU) to allow trade repositories licensed in one jurisdiction to provide relevant ... Read More
sec

SEC Obtains Asset Freeze Against Company in Turks and Caicos Islands

17/09/2014(0)
The U.S. Securities and Exchange Commission (SEC) announced an emergency asset freeze against a company located in Turks and Caicos Islands in connection with its operation of a South ... Read More
Broker Cyprus TopFX