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Regulators

ASIC_regulator

Sydney man charged with insider trading

12/08/2014(0)
Australian financial regulator ASIC, alleges that trader has earned $20,000 from insider information in trading and now faces jail and fine. A 31-year old Sydney man today appeared before ... Read More
Solicitors Regulation Authority logo

SRA shuts down Manchester firm

11/08/2014(0)
The Solicitors Regulation Authority has shut down the Manchester firm Robert Meaton & Co due to suspected dishonesty by one of the partners. According to the firm’s website release ... Read More
financial-services-malta-mfsa

Bulgarian regulator warns against unauthorised firm through MFSA

11/08/2014(0)
The Malta Financial Services Authority (MFSA), has released a warning from the Bulgarian Financial Supervision Commission (BFSC) against the activities of the company ISLANDBAY SERVICES LTD with a trade name BROKER ... Read More
SEC- Headquarters

SEC pursues brokerage firm and CEO

11/08/2014(0)
The Securities and Exchange Commission (SEC) has charged a Bahamas-based brokerage firm and its president for enabling a fraud that was halted when the SEC charged the hedge fund ... Read More
ASIC_regulator

ASIC imposes new AFS licence conditions on two Commonwealth Bank

08/08/2014(0)
The AFS licensees, the Australian financial services (AFS) licences of two of Commonwealth Bank of Australia (CBA)’s financial planning arms, Commonwealth Financial Planning Limited (CFPL) and Financial Wisdom Limited (FWL), have ... Read More
esma regulator

ESMA welcomes the publication of the ESFS Review Report

08/08/2014(0)
The European Securities and Markets Authority (ESMA) has welcomed the publication of the European Commission’s (EC) Report on the operation of the European Supervisory Authorities (ESAs) and the European ... Read More
sra

SRA approves first council ABS licence

08/08/2014(0)
The Solicitors Regulation Authority has granted a first alternative business structure licence to a local authority. Buckinghamshire Law Plus Limited will be licensed to undertake litigation and probate services, ... Read More
FCA_regulator

FCA warning against unauthorised firms

08/08/2014(0)
The Financial Conduct Authority (FCA), the British financial regulator, has issued a warning informing the investors that “Thungen Financial/ Thüngen Financial” (www.thungenfinancial.com) and “Leveltrade Ltd t/a LevelTrade” (www.leveltrade.com) are not ... Read More
sec

Former CEO of ConvergEx Subsidiary faces SEC’s charges

08/08/2014(0)
The Securities and Exchange Commission (SEC) has appointed charges to the former chief executive officer of a broker-dealer subsidiary of ConvergEx Group LLC for deceiving brokerage customers with hidden ... Read More
central bank of ireland

Central Bank of Ireland warns against unauthorised firm

07/08/2014(0)
The Central Bank of Ireland has published the name of an unauthorised investment firm, Citystate Consulting Co. (USA). Citystate Consulting Co. (USA) is not authorised as an investment firm by ... Read More
Broker Cyprus TopFX