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Regulators

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
SEC-charges-pair-of-brokers

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
FCA_regulator

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
Broker Cyprus TopFX