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Regulators

ASIC_regulator

ASIC reports on dark liquidity rule

19/05/2014(0)
The Australian Securities and Investments Commission (ASIC) today released the results of a review of rule changes affecting ‘dark trading’ and their impact on market quality. The meaningful price ... Read More
money

SEC Warns Investors About Marijuana-Related Investments

19/05/2014(0)
The U.S. Securities and Exchange Commission cautioned investors about the potential for fraud in microcap companies that claim their operations relate to the marijuana industry after the agency suspended ... Read More
FCA_regulator

FCA warning against clone firms

19/05/2014(0)
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a warning informing the investors that “Startuploans Ltd” and “Loan-Monarch” are clone firms, thus, are not permitted to ... Read More
Cyprus Securities and exchange commission (cysec)

CySec on EU regulation about Ukraine

16/05/2014(0)
The Cyprus Securities and Exchange Commission (CySec) informs the Cyprus Investment Firms, Management Companies, Administrative Services Companies and Regulated Markets (‘the Regulated Entities) about the publication in the Official ... Read More
ASIC_regulator

ASIC to impose licence conditions on two Commonwealth Bank financial planning businesses

16/05/2014(0)
The Australian Securities and Investment Commissions (ASIC) has announced that it will impose, by agreement, licence conditions on the Australian financial services licences of two financial planning businesses owned ... Read More
U.S. Congress in Washingto

SEC Charges Unregistered Securities Salesman

16/05/2014(0)
The U.S. Securities and Exchange Commission has charged a Tiburon, Calif.-based securities salesman for selling millions of dollars in oil-and-gas investments without being registered with the SEC as a ... Read More
onestopbrokers-Regulators

FCA warning against clone firm

15/05/2014(0)
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a warning informing the investors that “ACM Financial UK” is the clone firm of “ACM Financial Services (UK) ... Read More
FCA_regulator

FCA: Martin Brokers (UK) Limited was fined for significant failings in relation to LIBOR

15/05/2014(0)
The Financial Conduct Authority (FCA), the British regulatory authority, has fined Martin Brokers (UK) Ltd (Martins) £630,000 for misconduct relating to the London Interbank Offered Rate (LIBOR). Martins would ... Read More
ASIC_regulator

ASIC issues penalty fine

15/05/2014(0)
The Australian Securities and Investments Commission (ASIC), issued two infringement notices for misleading statements in Product Disclosure Statements (PDS) for two investor funds the company manages as responsible entity ... Read More
Cyprus Securities and exchange commission (cysec)

CySec: acquisition of Administrative Services Providers (ASP) licence

15/05/2014(0)
The Cyprus Securities and Exchange Commission (CySec), the Cypriot financial regulatory authority, has announced that the following firms have successfully obtained the CySec license to operate as Administrative Services ... Read More
Broker Cyprus TopFX