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Regulators

european-central-bank_regulator

ECB on SRM agreement

21/03/2014(0)
The European Central Bank has issued a press release welcoming the political agreement reached on the single resolution mechanism (SRM) on Thursday morning. The negotiations between the European Parliament ... Read More
esma regulator

ESMA publishes list of authorised CCPs and OTC derivatives

20/03/2014(0)
Following the authorisation of NASDAQ OMX as the first EU-based CCP on 18 March 2014, the European Securities and Markets Authority (ESMA) has today published information about Nasdaq OMX ... Read More
FCA_regulator

FCA bans and fines trader for manipulating gilt price during QE

20/03/2014(0)
The Financial Conduct Authority (FCA), the British financial regulatory authority has announced that Mark Stevenson, a bond trader with nearly 30 years’ experience, has been banned from the industry and ... Read More
law_firms

SEC Charges Stockbroker and Law Firm Managing Clerk

20/03/2014(0)
The Securities and Exchange Commission charged a stockbroker and a managing clerk at a law firm with insider trading around more than a dozen mergers or other corporate transactions ... Read More
ASIC_regulator

ASIC reports on penalties for corporate wrongdoing

20/03/2014(0)
ASIC, the Australian Securities and Investment Commission, has released Report 387 Penalties for corporate wrongdoing (REP 387). REP 387 reviews penalties in Australia for corporate wrongdoing to assess whether ... Read More
european-central-bank_regulator

European Central Bank: review mission to Greece

20/03/2014(0)
Staff teams from the European Commission (EC), European Central Bank (ECB), and International Monetary Fund (IMF) have concluded their review mission to Greece. The teams have reached staff-level agreement ... Read More
FCA_regulator

FCA: Wealth Planning Solutions Europe (clone)

20/03/2014(0)
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a Warning informing the investors that “Wealth Planning Solutions Europe” (wealthplanningsolutions@europe.com) is a clone firm of “Wealth Planning ... Read More
FCA_regulator

FCA warning

20/03/2014(0)
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a Warning informing the investors that Axis Capital Limited is not permitted to provide financial services or products. ... Read More
Cyprus Securities and exchange commission (cysec)

CySec: Council Regulation

20/03/2014(0)
The Cyprus Securities and Exchange Commission (‘the Commission’) informs, the Cyprus Investment Firms, the Management Companies and the Administrative Services Companies (‘the Regulated Entities) about the publication in the ... Read More
FCA_regulator

FCA fined Besso Limited

19/03/2014(0)
The Financial Conduct Authority (FCA), the British financial regulatory authority, has fined Besso Limited £315,000 for a failure to take reasonable care to establish and maintain effective systems and controls ... Read More
Broker Cyprus TopFX