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Regulatory Sanctions

CySEC

CySec fined Administrative Services Provider for €15.000

10/01/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform that the Board of the Commission at its meeting held on December 05, 2016, decided to ... Read More
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Company and individuals to pay over $11.6 million for Forex Fraud Scheme

10/01/2017(0)
Federal Court Orders Defendants EJS Capital Management, LLC, Alex Vladimir Ekdeshman, and Edward J. Servider to Pay $11.6 Million in Sanctions for Forex Fraud Scheme Relief Defendants Alisa Ekdeshman, ... Read More
SFC - Hong Kong

SFC bans former financial planning manager

09/01/2017(0)
The Securities and Futures Commission (SFC) has prohibited Mr Choi Siu Ki, a former financial planning manager of Dah Sing Bank Limited, from re-entering the industry for nine months ... Read More
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The Federal Reserve Board permanently prohibited former Forex (FX) trader

05/01/2017(0)
The Federal Reserve Board on Wednesday announced it is permanently prohibiting Jason Katz, a former foreign exchange (FX) trader at Barclays PLC and later at BNP Paribas SA, from ... Read More
CySEC

CySec decided to impose a €100.000 administrative fine to a Cyprus Investment Firm

27/12/2016(0)
The Board of the Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform the public that, at the meeting held on 28 November 2016, it decided ... Read More
CySEC

CySec announced the suspension and commencement of proceedings for the possible withdrawal of an ASP license

20/12/2016(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform that the Administrative Services provider authorisation of Blaustein Corporate Services Ltd (‘the Company’), with number 171/196, ... Read More
CySEC

CySec announced Continuance of suspension and commencement of proceedings for the possible withdrawal of a CIF license

20/12/2016(0)
Following the announcement dated 29th September 2016, the Cyprus Securities and Exchange Commission (CySec), after a decision at the meeting dated 28th November 2016, announces that the authorisation of ... Read More
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ASIC charges GAIN Capital employee with dishonest use of his position

16/12/2016(0)
Following an ASIC investigation, Mr Shun Yuen Ken Li (also known as Leo Lee), of Roseville Chase, New South Wales has pleaded guilty in the Downing Centre Local Court ... Read More
swedish regulator finan

Finansinspektionen: Remark and administrative fine for two companies in the Nasdaq Group

14/12/2016(0)
Nasdaq Clearing AB is receiving a remark and must pay an administrative fine of SEK 25 million. Nasdaq Stockholm AB is receiving a remark and must pay an administrative ... Read More
CySEC

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

13/12/2016(0)
The Cyprus Securities and Exchange Commission (‘CySEC’) announces that, on its meeting of 28th November 2016, has decided, pursuant to sections 25(1)(b), 25(1)(c) and 26(4)(b) of the Investment Services ... Read More
Broker Cyprus TopFX