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Regulators

ASIC_regulator

Findex Group and Financial Index Australia fined by ASIC

10/10/2016(0)
Findex Group Limited and Financial Index Australia Pty Ltd (FIA) have each paid a $10,800 penalty following the issuing by ASIC of infringement notices for potentially misleading claims on ... Read More
fed-logo-colour

Federal Reserve Board takes action to bar two former foreign exchange (FX) traders of HSBC from employment in banking industry

07/10/2016(0)
The Federal Reserve Board on Thursday took action to bar two former foreign exchange (FX) traders of HSBC from employment in the banking industry. Mark Johnson and Stuart Scott, ... Read More
osc ontario

OSC issued a warning for alfatrade

07/10/2016(0)
The Ontario Securities Commission (OSC) has issued a press release to warn investors regarding Nemesis Capital BG Limited, doing business as www.alfatrade.com. The OSC warns investors and public that ... Read More
cftc-logo

CFTC Signs MOU with UK Financial Conduct Authority to Enhance Supervision of Cross-Border Regulated Firms

07/10/2016(0)
The U.S. Commodity Futures Trading Commission (CFTC) announced today that CFTC Chairman Timothy Massad and Andrew Bailey, Chief Executive of the Financial Conduct Authority (FCA), signed a Memorandum of ... Read More
Bank of Russia, Moschow

The Russian Central Bank revoked Banking licence of a commercial Bank

06/10/2016(0)
By its Order No. OD-3414, dated 5 October 2016, the Bank of Russia revoked a banking licence of the Moscow-based credit institution Commercial Bank IMoneyBank, limited liability company, or LLC CB IMoneyBank (Registration No. 1975) from 5 October ... Read More
ASIC_regulator

ASIC warns AFS licensees to lodge financial statements and auditor’s reports on time

06/10/2016(0)
ASIC has been pursuing Australian Financial Services (AFS) licensees that have failed to meet their obligation to lodge their annual financial statements and auditor’s reports with ASIC within the ... Read More
Securities Exchange Commission

Credit Suisse Paying $90 Million to settle charges

06/10/2016(0)
The Securities and Exchange Commission today announced that Credit Suisse AG has agreed to pay a $90 million penalty and admit wrongdoing to settle charges that it misrepresented how ... Read More
FCA-logo

FCA fines Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited £8.2m for Client Money and Assets failings

05/10/2016(0)
The Financial Conduct Authority (FCA) has today fined Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited (together Aviva) £8,246,800 for failings in its oversight of its outsourced ... Read More
nfa log

NFA permanently bars introducing broker

05/10/2016(0)
National Futures Association (NFA) has permanently barred Chicago, Ill., introducing broker Vankar Trading Corp. (Vankar) from membership and from acting as principal of an NFA Member. In addition, NFA has barred John ... Read More
esma regulator

ESMA reports on Shadow Banking, Leverage and Pro-Cyclicality

05/10/2016(0)
The European Securities and Markets Authority (ESMA) has issued today a report on securities financing transactions (SFTs), leverage and pro-cyclicality in the EU’s financial markets. ESMA’s report assesses whether the use ... Read More
Broker Cyprus TopFX