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Regulators

Cyprus Securities and exchange commission (cysec)

CySec: acquisition of Administrative Services Providers (ASP) licence

31/07/2014(0)
The Cyprus Securities and Exchange Commission (CySec), the Cypriot financial regulatory authority, has announced that “Asoted Services Limited” has successfully obtained the CySec licence to operate as Administrative Services ... Read More
FCA_regulator

FCA reports that firms fail to deliver best execution

31/07/2014(0)
The Financial Conduct Authority (FCA) has released a review setting out some major points, highlighting the fact that most firms fail to properly apply the rules on best execution when ... Read More
sra

Solicitor caught for rules breaches

31/07/2014(0)
A solicitor has been struck off by the Solicitors Disciplinary Tribunal (SDT) after a number of serious allegations were found proved against him, including that he failed to set ... Read More
FCA_regulator

FCA warning against unauthorised firms

30/07/2014(0)
The Financial Conduct Authority (FCA), the British financial regulator, has issued a warning informing the investors that “Eden & Bracha Ltd” (http://www.edenandbracha.co.uk) and “Krypton Studios” (www.kryptonstudios.co.uk) are not permitted to ... Read More
fma

FMA and SFO sign MOU to improve agency cooperation

30/07/2014(0)
The Financial Markets Authority, has announced a cooperation with the Serious Fraud Office iby signing a Memorandum of Understanding. In this way, both regulators continue their efficient action against ... Read More
onestopbrokers-Regulators

Institutional Liquidity LLC to pay $225,000 fine

30/07/2014(0)
National Futures Association (NFA) has ordered Institutional Liquidity LLC (ILQ), a forex dealer Member of NFA located in Grand Rapids, Michigan, and three of the firm’s principals and registered ... Read More
FCA_regulator

Prudential Regulation Authority and Financial Conduct Authority consult on proposals

30/07/2014(0)
The Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) have today published two joint consultation papers aimed at improving individual responsibility and accountability in the banking sector. These ... Read More
Traders work on the floor of the New York Stock Exchange shortly after the market's opening in New York

U.S Regulators may change rules for upstart trading

30/07/2014(0)
U.S regulators may relax rules that require the fastest possible execution of securities trades, potentially helping upstart trading venue IEX Group’s plans to become a full-fledged stock exchange. IEX, ... Read More
ASIC_regulator

ASIC accepts enforceable undertaking from Adelaide-based AFS licensee

30/07/2014(0)
The Australian regulator, ASIC, has today announced that it has accepted an enforceable undertaking (EU) from Adelaide-based PGW Financial Services Pty Ltd (PGW), after an ASIC surveillance found deficiencies ... Read More
The logo of UBS bank

UBS, Deutsche Bank questioned by U.S. regulators on trading operations

29/07/2014(0)
Germany’s Deutsche Bank (DBKGn.DE) and Switzerland’s UBS (UBSN.VX) were investigated by U.S. regulators, who are searching to find whether broker-run stock exchanges gave an unfair advantage to high-frequency traders. ... Read More
Broker Cyprus TopFX