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Regulatory Sanctions

CySEC

Cyprus Investment Firm’s license will continue to be suspended

30/09/2016(0)
Following previous announcement dated 9 August 2016, the Cyprus Securities and Exchange Commission (CySec), following a decision at the meeting dated 5 September 2016, announces that the authorisation of the Cyprus ... Read More
CySEC

CySec announced continuance of suspension of a CIF license

30/09/2016(0)
Following previous announcement dated 29 July 2016, the Cyprus Securities and Exchange Commission (CySec), following a decision at the meeting dated 26 September 2016, announces that the authorisation of the Cyprus ... Read More
CySEC

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

21/09/2016(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform that, following the announcement dated 09.08.2016, the suspension of the authorisation of the Cyprus Investment Firm ... Read More
fca-building

Payday firm CFO Lending to pay £34 million redress

20/09/2016(0)
Payday firm, CFO Lending, has entered into an agreement with the Financial Conduct Authority (FCA) to provide over £34 million of redress to more than 97,000 customers for unfair ... Read More
CySEC

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

12/09/2016(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform that, following the announcement dated 25.05.2016, CySec clarifies that the suspension of the authorisation of the Cyprus ... Read More
CySEC

CySec imposed more than 1 million in Administrative Fines on Investment firms in 2016

07/09/2016(0)
The Cyprus Securities and Exchange Commission (CySec) has imposed the total of €1,168 million of fines on Cyprus Investment Firms in 2016, till August 31. In this amount is included a ... Read More
FCA_regulator

The FCA UK fines and prohibits financial adviser

01/09/2016(0)
The FCA fines and prohibits financial adviser for failing to act with integrity and for failing to be open and honest with the regulator The Financial Conduct Authority (FCA) ... Read More
CySEC

CySec imposed an Administrative Fine of €105.000 on a Cyprus Investment Firm

22/08/2016(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform investors that the Commission decided to impose a total administrative fine of €105.000 to the CIF ... Read More
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CFTC charges Forex broker FXCM with Undercapitalization

19/08/2016(0)
The CFTC Complaint, filed on August 18, 2016, alleges that FXCM, as an RFED in the business of offering or engaging in retail off-exchange foreign currency transactions, was required ... Read More
sec-logo

SEC announced fraud charges against Investment Adviser for stealing money from investors

12/08/2016(0)
The Securities and Exchange Commission today announced fraud charges against a San Francisco man and his investment advisory firm accused of pretending to manage millions of dollars in assets ... Read More
Broker Cyprus TopFX