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Regulators

asic

Sonray director jailed following $46 million collapse

17/04/2014(0)
The Australian Securities and Investments Commission (ASIC), has issued a press release informing the investors that former sole director of Sonray Capital Markets Pty Ltd (Sonray), Mr Russell Andrew ... Read More
FCA_regulator

FCA warns for clone firm

17/04/2014(0)
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a warning informing the investors that “United Kingdom Tax Agency/ FIBI BANK PLC UNITED KINGDOM” is not permitted to ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announcement on legal enquiries

16/04/2014(0)
The Cyprus Securities and Exchange Commission (CySec), has issued a press release following its previous announcements of 1.11.2007 and 5.5.2010, and reminding all interested parties that, although it is ... Read More
onestopbrokers-Regulators

CALDB suspends NSW joint liquidator for six months

16/04/2014(0)
The Companies Auditors and Liquidators Disciplinary Board (CALDB) has ordered the suspension of the registration of Mr William James Hamilton as a liquidator for six months following an application ... Read More
asic

ASIC: man pleads guilty to $260,000 fraud

16/04/2014(0)
The Australian Securities and Investments Commission has issued a press release informing the investors that a NSW Central Coast man has pleaded guilty to a $260,000 fraud. William John ... Read More
FCA_regulator

FCA warning for unauthorised firms

16/04/2014(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
ASIC_regulator

ASIC suspends auditor

16/04/2014(0)
The Australian Securities and Investments Commission (ASIC), has announced the suspension of the registration of Wayne John Wessels, the former auditor of whitegoods distributor Kleenmaid, following a successful application ... Read More
Retirees fish from a public dock on the Sacramento River in the Sacramento San Joaquin River Delta in Rio Vista, California

SEC Charges San Diego-Based Investment Adviser

16/04/2014(0)
The U.S. Securities and Exchange Commission has announced charges against a San Diego-based investment advisory firm, its chief executive officer, chief compliance officer, and another employee for misleading investors ... Read More
onestopbrokers-Regulators

ASIC bans convicted former adviser from credit industry

15/04/2014(0)
The Australian Securities and Investments Commission (ASIC), has permanently banned Mr Pavan Vyas from engaging in credit activities after he was convicted for dishonest conduct. Mr Vyas submitted 15 ... Read More
ASIC_regulator

ASIC charges former CEO of IT companies

15/04/2014(0)
The Australian Securities and Investments Commissions (ASIC), has issued an announcement that Mr Peter Mavridis, of Bentleigh, Victoria, has appeared before the Melbourne Magistrates Court after an ASIC investigation ... Read More
Broker Cyprus TopFX