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Regulators

FCA_regulator

FCA warning against unauthorised firm

02/09/2014(0)
The Financial Conduct Authority (FCA), the British financial regulator, has issued a warning informing that the firm “Marcus KPO Services LLC” (www.MarcusKPO.com) is not permitted to provide any financial ... Read More
onestopbrokers-Regulators

Swedish regulator warns for unauthorised firm

01/09/2014(0)
The Swedish Financial Supervisory Authority (Finansinspektionen) has published a statement in order to warn investors against dealing with unauthorised firms. More precisely, the New York-based firm, Myers and Baker Associates ... Read More
FCA_regulator

FCA warns against boiler room clone firm

01/09/2014(0)
Financial Conduct Authority (FCA), the British regulator has issued a warning against boiler room “City Equities Ltd” (www.cityeq.com), informing the investors that the company appears as the clone firm ... Read More
sec

SEC gives $300,000 Whistleblower Award to Internal Auditor

01/09/2014(0)
For the first time, the Securities and Exchange Commission is rewarding a corporate whistleblower whose actual job it is to blow the whistle on a company’s internal missteps. The ... Read More
asic

ASIC charges Goldman Sachs Australia Pty Ltd with $35,000 penalty

01/09/2014(0)
The Australian Securities and Investments Commisions (ASIC) has charged Goldman Sachs Australia Pty Ltd (Goldman Sachs) with a penalty of $35,000 to comply with an infringement notice given to ... Read More
cftc-image-jpeg

CFTC Charges California Resident Ralph Metters with Forex Fraud

01/09/2014(0)
The U.S. Commodity Futures Trading Commission (CFTC) has announced that Judge Manuel L. Real of the U.S. District Court for the Central District of California entered on August 27, ... Read More
CSSF Luxembourg

CSSF warns against unauthorised firm

29/08/2014(0)
The Commission de Surveillance du Secteur Financier (CSSF) warns the public of the activities of an entity named World Trade Consortium which claims to be established at 25, rue ... Read More
ASIC_regulator

ASIC publishes first report on corporate finance regulation

29/08/2014(0)
The Australian Securities and Investments Commission (ASIC), has today published the first of a series of regular reports it intends issuing on the regulation of corporate finance issues in ... Read More
sra

SRA scam warnings

29/08/2014(0)
Birketts has been exposed by the Solicitors Regulation Authority (SRA) as the subject of a scam after members of the public received emails purportedly from the UK Border Agency ... Read More
FCA_regulator

FCA bans and fines former Burlington director

29/08/2014(0)
The Financial Conduct Authority (FCA) has fined Craig Cameron £350,000 and banned him from any involvement in FCA authorised firms, after it found that he lacked honesty and integrity ... Read More
Broker Cyprus TopFX