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Regulators

credit-suisse-logo

Credit Suisse and Yorkshire Building Society fined for failing to promote products

16/06/2014(0)
The Financial Conduct Authority has slapped a unit of Credit Suisse and the Yorkshire Building Society (YBS) with millions of pounds worth of fines for failing to ensure that ... Read More
ASIC_regulator

ASIC suspends former Banksia auditor for five years

13/06/2014(0)
The Australian Securities and Investments Commission (ASIC) has accepted an enforceable undertaking (EU) from Mr Warren John Sinnott of Kennington, Victoria, as part of an ongoing investigation into the ... Read More
FCA_regulator

FCA warning against unauthorised firms

13/06/2014(0)
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a warning informing the investors that the following firms are not permitted to provide any financial services ... Read More
banks

New EU Bank-Creditor Loss Rules Leave Room for Confusion

13/06/2014(0)
The European Union has served notice that senior bondholders will be in the firing line for losses when banks go bust, yet the law’s fine print leaves room for ... Read More
ASIAN STOCKS

Dark Pools Take Larger Share of Trades Amid SEC Scrutiny

13/06/2014(0)
The rise of off-exchange trading in the U.S. stock market continues unabated even as regulators question the wisdom of allowing the shift to continue. Shares changing hands in private ... Read More
osc ontario

Predatory Trading Rules Considered in Canada

13/06/2014(0)
The Ontario Securities Commission may consider measures to regulate high-frequency trading if evidence of predatory activity is found as it reviews its market-structure policies, Chairman Howard Wetston said. “The ... Read More
Cyprus Securities and exchange commission (cysec)

Bank Recovery and Resolution Directive for CIFs

12/06/2014(0)
The Cyprus Securities and Exchange Commission (CySec) is informing the Cyprus Investment Firms (‘the CIFs’) about Bank Recovery and Resolution Directive and on the Data requested by the EU ... Read More
bank-of-england

HM Treasury, the BoE and the Financial Conduct Authority announce Fair and Effective Markets Review

12/06/2014(0)
The British government has announced in a press release publishing the Fair and Effective Markets Review the strategic steps to follow in order to raise standards of conduct in the financial ... Read More
SFC-logo-office

Pacific Sun Advisors Limited and its director convicted by SFC

12/06/2014(0)
The Securities and Futures Commission (SFC) has issued a press release informing the investors that Pacific Sun Advisors Limited (Pacific Sun) and its director Mr Andrew Pieter Mantel were ... Read More
FCA_regulator

FCA warning against unauthorised firms

12/06/2014(0)
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a warning informing the investors that the following firms are not permitted to provide any financial services ... Read More
Broker Cyprus TopFX