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Regulators

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SEC charges brokerage firm

15/04/2014(0)
The US Securities and Exchange Commission has announced another round of charges in its ongoing case against several individuals involved in a massive kickback scheme to secure the bond ... Read More
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SRA: Solicitor struck off for dishonestly misusing client money

15/04/2014(0)
The Solicitors Regulation Authority has issued a press released informing that a solicitor has been struck off for failing to handle properly funds that clients had entrusted to him. Ashok Kumar ... Read More
onestopbrokers-Regulators

FCA warns for an unauthorised firm

14/04/2014(0)
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a Warning informing the investors that “LSE Acquisitions” is not authorised by the FCA to provide financial services ... Read More
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FCA warning for a clone firm

14/04/2014(0)
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a Warning informing the investors that “AXA Investment Managers” (www.axa-im.co.uk) is the clone firm of the FCA authorised ... Read More
Cyprus Securities and exchange commission (cysec)

CySec: acquisition of Administrative Services Providers (ASP) licence

14/04/2014(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 Providers ... Read More
onestopbrokers-Regulators

CySec: renouncement of license

14/04/2014(0)
The Cyprus Securities and Exchange Commission announces that, on 18 February 2014, the CIF «Magline Investments Ltd» (‘the Company’), which provided investment services via the domain www.trading247.com, renounced its ... Read More
onestopbrokers-Regulators

CySec: renouncement of licence

11/04/2014(0)
The Cyprus Securities and Exchange Commission announces that, on 18 February 2014, the CIF «Magline Investments Ltd» (‘the Company’), which provided investment services via the domain www.trading247.com, renounced its ... Read More
Cyprus Securities and exchange commission (cysec)

CySec: acquisition of licences

11/04/2014(0)
The Cyprus Securities and Exchange Commission (CySec), the Cypriot financial regulatory authority, has announced that the following companies have successfully obtained the CySec licence as ASPs: MMG Trust (Cyprus) ... Read More
TAX-REFORM-US

Exclusive: SEC eyes test that may lead to shift away from ‘dark pools’

11/04/2014(0)
U.S. securities regulators are considering testing a proposed reform that could drive business to major stock exchanges and away from alternative trading venues such as “dark pools” that critics ... Read More
asic

Wealth Within Ltd pays $20,400 in penalties over misleading advertising

11/04/2014(0)
ASIC has issued a press released informing that Wealth Within Limited has paid $20,400 in penalties after ASIC issued two infringement notices for misleading online advertisements. The advertisements related ... Read More
Broker Cyprus TopFX