Regulatory Sanctions

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Consob warns against unauthorised investment services companies

09/06/2015(0)
The National Commission for Companies and the Stock Exchange (Consob) reports that the companies Bfm International Limited and Bfmn Limited are not authorised to provide investment services or carry out ... Read More
fca-building

FCA warning against clone firm

09/06/2015(0)
The Financial Conduct Authority (FCA) of the United Kingdom has issued a warning to alert all recipients that: Fraudsters are using or giving out the following details as part of their ... Read More
FCA_regulator

FCA warning against unauthorised firm

08/06/2015(0)
FCA 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 firms and ... Read More
FCA_regulator

Lloyds Banking Group fined £117m for failing to handle PPI complaints fairly

05/06/2015(0)
The Financial Conduct Authority (FCA) has issued its largest ever retail fine (£117m) to Lloyds Bank Plc, Bank of Scotland Plc and Black Horse Ltd (together Lloyds) for failing ... Read More
SFC-logo-office

SFC reprimands and fines BNP Paribas Securities (Asia) Limited $11 million

02/06/2015(0)
The Securities and Futures Commission (SFC) has reprimanded and fined BNP Paribas Securities (Asia) Limited (BNP) a total of $11 million for its failures to report its direct business ... Read More
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FCA fines set to dip below record despite Libor and forex penalties

26/05/2015(0)
Last week’s record £284.4m penalty imposed on Barclays for its part in the foreign exchange rate rigging scandal came just weeks after a £226.8m fine on Deutsche Bank The ... Read More
fca-building

FCA fines Barclays £284,432,000 for forex failings

20/05/2015(0)
The Financial Conduct Authority (FCA) has imposed a financial penalty of £284,432,000 on Barclays Bank Plc (Barclays) for failing to control business practices in its foreign exchange (FX) business ... Read More
Consob-logo

Warnings: www.cteqs.com – NTD Invest Corp Ltd

11/05/2015(0)
The Commissione Nazionale per le Società e la Borsa reports that: the website www.cteqs.com cannot be traced to subjects authorised to provide investment services and facilities in Italy. the company NTD ... Read More
Hellenic Capital Market Commission (HCMC)

HCMC imposes fines on foreign investors for naked short selling

29/04/2015(0)
Over 1.6 million euros worth of fines were imposed for naked short selling during April and May of 2014 The Hellenic Capital Market Commission (HCMC) announced that it has ... Read More
onestopbrokers-Regulators

Supervisory Authorities issued warnings on unauthorised companies

20/04/2015(0)
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA) and Spain (Comision Nacional del Mercado de Valores – CNMV) report companies that are offering investment services ... Read More
Broker Cyprus TopFX