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Regulatory Sanctions

CySEC

CySec announced the suspension of license of a Cyprus Investment Firm

15/02/2016(0)
The Cyprus Securities and Exchange Commission (CySec), has announced that: The authorisation of the Cyprus Investment Firm ‘Trademarker (Cyprus) Ltd’, number 151/11, is suspended, pursuant to section 26(2) of ... Read More
SEC- Headquarters

SEC fined brokerage firm for violated anti-money laundering rules

05/02/2016(0)
The Securities and Exchange Commission announced that a Miami-based brokerage firm agreed to pay a $1 million penalty to settle charges that it violated anti-money laundering rules by allowing foreign ... Read More
cftc-logo

CFTC Charges Financial services Firm

04/02/2016(0)
CFTC Charges Florida-Based Oakmont Financial, Inc. and Joseph Charles DiCrisci with Engaging in Illegal, Off-Exchange Precious Metals Transactions The U.S. Commodity Futures Trading Commission (CFTC) filed a civil injunctive ... Read More
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SEC Charges Lending Company and Brokerage Firm With Fraud

04/02/2016(0)
The Securities and Exchange Commission announced fraud charges against a Manhattan-based lending company and its owner accused of repeatedly lying to investors purchasing high-yield securities. The SEC also charged the ... Read More
CySEC

CySec announced settlement with a Cyprus Investment Firm for €350.000

27/01/2016(0)
The Cyprus Securities and Exchange Commission (CySec) has issued a press release to inform that the Commission has reached a settlement with the CIF Banc De Binary Ltd (“BDB”) ... Read More
CySEC

CySec announced administrative fine of €156.000 on a Cyprus Investment Firm

27/01/2016(0)
The Cyprus Securities and Exchange Commission (CySec) has issued a press release to inform that: The Board of the Cyprus Securities and Exchange Commission (the ‘CySEC’) wishes to inform investors ... Read More
ASIC_regulator

Former Brisbane financial advisor jailed after pleading guilty to fraud charges

18/01/2016(0)
The Australian Securities and Investment Commission (ASIC), the financial regulator of Australia, has issued a announcemnet to inform that: Following an ASIC investigation, Mr Thanh Tu, 38 years old, ... Read More
SEC- Headquarters

SEC Charges Goldman Sachs

15/01/2016(0)
SEC Charges Goldman Sachs With Improper Securities Lending Practices The Securities and Exchange Commission announced that Goldman, Sachs & Co. has agreed to pay $15 million to settle charges that ... Read More
cftc-logo

CFTC orders a London based financial services company to Pay a Civil Monetary Penalty

14/01/2016(0)
CFTC Orders Otkritie Capital International, Ltd. to Pay a $140,000 Civil Monetary Penalty for Violating a CFTC Registration Regulation The U.S. Commodity Futures Trading Commission (CFTC) issued an Order ... Read More
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Traders in China and Hong Kong Paying $920,000 to Settle Insider Trading Case

29/12/2015(0)
The Securities and Exchange Commission today announced that two traders in China and Hong Kong have agreed to pay more than $920,000 to settle an insider trading case against ... Read More
Broker Cyprus TopFX