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Regulators

onestopbrokers-Regulators

FCA bans and fines financial adviser with £300,000

16/09/2014(0)
The Financial Conduct Authority (FCA) has concluded to ban and fine financial adviser, Peter Carron, with the amount of £300,000 after clients lost out investing in companies he controlled. Between 2004 ... Read More
FCA_regulator

FCA warns against clone firm

16/09/2014(0)
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a warning against clone firm “DuPont Financial, DuPont FX & DP Global Services Ltd” (www.dupontfx.com). FCA warns ... Read More
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Former Amaranth star fined over gas trades

16/09/2014(0)
Brian Hunter, the natural gas trader whose large bets helped precipitate the $6bn collapse of Amaranth, the hedge fund, has agreed to pay $750,000 to settle attempted market manipulation ... Read More
FCA_regulator

FCA charges insider dealers with £3.2m in confiscation

15/09/2014(0)
In a case brought by the Financial Conduct Authority (FCA) a total of £3,249,488.71 were made by His Honour Judge Pegden QC between 10 September 2014 and 15 September ... Read More
ASIC_regulator

ASIC warns against unauthorised firm

15/09/2014(0)
ASIC has issued a warning to consumers to be wary of a fake website promoting foreign exchange broker, First Forex. First Forex and related entities Fifx and FiFX Global ... Read More
CySEC

CySec warning against unauthorised firm

12/09/2014(0)
The Cyprus Securities and Exchange Commission (CySec) wishes to inform the investors that the company ‘S.C. BINARY FLOOR ONLINE LTD’ (www.binaryfloor.com): 1. Is not permitted to provide investment and ... Read More
FCA_regulator

FCA warning against clone firm

12/09/2014(0)
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a warning informing the investors that “The Right Loan 4 U(www.metadi.co.uk) is the clone firm of “The ... Read More
Ketchum speaks during the Investment Company Institute's Capital Markets Conference in New York

Wall Street watchdog to pick insider as arbitration head

12/09/2014(0)
The Financial Industry Regulatory Authority has narrowed its search for a new head of its arbitration unit to two of its own long-time officials, according to a person familiar ... Read More
fma

Directors fined for not filing financial statements

11/09/2014(0)
The Financial Markets Authority (FMA) has fined directors Hayden George Jones and Thomas Alexander George Jones with the amount of $35,000 each for breaches of the Financial Reporting Act ... Read More
asic

Merrill Lynch Equities (Australia) Limited pays $96,000 infringement notice penalty

11/09/2014(0)
The Australian Securities and Investments Commission has ruled a fine against Merrill Lynch Equities (Australia) Limited (Merrill Lynch). The company has paid a total penalty of $96,000 to comply ... Read More
Broker Cyprus TopFX