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Regulators

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SFC reprimands and fines DBS Vickers (Hong Kong) Limited $2 million

16/03/2017(0)
The Securities and Futures Commission (SFC) has reprimanded DBS Vickers (Hong Kong) Limited (DBSVHK) and fined it $2 million for regulatory breaches and internal control failings relating to under-segregation ... Read More
fca-building

Culture in financial institutions: it’s everywhere and nowhere; FCA Chief Executive

16/03/2017(0)
Highlights A firm’s culture emerges in large part from inputs that are its responsibility. It is for firms to ensure that their desired culture is consistent with appropriate conduct ... Read More
onestopbrokers-Regulators

Supervisory Authorities around the world warn for unathorised financial services providers

16/03/2017(2)
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Ireland (Central Bank of Ireland), Spain (Comisión Nacional del Mercado de Valores – CNMV), Luxembourg (Commission de ... Read More
CySEC

CySec decided to wholly withdraw the license of a Cyprus Investment Firm

15/03/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform investors and public that the Commission decided to wholly withdraw the CIF authorization with number CIF ... Read More
ASIC_regulator

Credit Suisse pays $170,000 in infringement notice penalty

15/03/2017(0)
Credit Suisse Equities (Australia) Limited (Credit Suisse) has paid a penalty of $170,000 to comply with an infringement notice from the Markets Disciplinary Panel (MDP). The MDP had reasonable grounds ... Read More
bank-of-england

Bank of England responds following Deputy Governon resignation

14/03/2017(0)
Following the voluntarily resignation of the Deputy Governor Markets & Banking  and Chief Operating Officer Charlotte Hogg, yesterday, due to conflict of interest and the acceptance of her resignation, the ... Read More
FCA_regulator

FCA UK warns for unauthorised financial services firm

14/03/2017(0)
The FCA UK has issued a press release to inform that the below firm has been providing financial services or products in the UK without its authorisation. Almost all ... Read More
CySEC

CySec approved a new Administrative Services Provider firm

13/03/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform that the Commission has approved a new firm as Administrative Services Provider (ASP). According the announcement, ... Read More
Securities Exchange Commission

SEC Charges Firms Involved in Layering, Manipulation Schemes

13/03/2017(0)
The Securities and Exchange Commission today announced fraud charges against a Ukraine-based trading firm accused of manipulating the U.S. markets hundreds of thousands of times and the New York-based ... Read More
Morgan Stanley is pictured on a building in San Diego

Former Morgan Stanley Wealth Management financial adviser permanently banned

11/03/2017(0)
ASIC has permanently banned Andrew Peter Panayiotides from providing financial services. ASIC found that Mr Panayiotides failed to act in the best interests of clients and provided advice to ... Read More
Broker Cyprus TopFX