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Regulatory Sanctions

fined

CySEC fined LQD Markets Ltd €50.000

06/09/2018(0)
The Cyprus Securities and Exchange Commission (CySEC) has issued an announcement to inform that on its Board meeting held on July 2, 2018, decided to impose an administrative fine to ... Read More
Bafin

Beware: German Regulator ordered investment management firms to cease their activities

05/09/2018(0)
The Federal Financial Supervisory Authority (BaFin), the German financial regulator that ensures the proper functioning, stability and integrity of the German financial system, has issued an announcement to inform investors and ... Read More
BNP Paribas

BNP Paribas ordered to pay $90 Million penalty; The reason?

31/08/2018(0)
The Commodity Futures Trading Commission (CFTC) issued an Order filing and settling charges against BNP Paribas Securities Corp. (BNP Paribas or the Bank) for attempted manipulation of the ISDAFIX ... Read More
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Moody’s credit ratings agency to pay $16.25 million in penalties to settle charges

29/08/2018(0)
The U.S Regulator, Securities and Exchange Commission (SEC), announced that Moody’s Investors Service Inc., one of the nation’s largest credit ratings agencies, has agreed to pay a total of ... Read More
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Enormous refund ordered to USA retail investors for being misled

28/08/2018(0)
The Securities and Exchange Commission (SEC) announced charges against four Transamerica entities for misconduct involving faulty investment models and ordered the entities to refund $97 million to misled retail ... Read More
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Individual and a Company fined in virtual currencies fraud

27/08/2018(0)
A New York federal court entered final judgment ordering Patrick K. McDonnell of Staten Island, New York, and CabbageTech, Corp. d/b/a Coin Drop Markets (CDM), McDonnell’s New York-based company, ... Read More
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US financial services company will pay millions to settle charges; The reason?

17/08/2018(0)
The Securities and Exchange Commission (SEC) has issued an announcement to inform that Ameriprise Financial Services Inc. will pay $4.5 million to settle charges. The Reason According to SEC’s ... Read More
CySEC logo

Cyprus Investment Firm paid €250.000 to settle possible violations

09/08/2018(0)
The Cyprus Securities and Exchange Commission (CySEC), the independent public supervisory Authority responsible for the supervision of the investment services market in Cyprus, has issued an announcement to inform that ... Read More
FCA_regulator

FCA banned four former directors of an online consumer credit broker

26/07/2018(0)
The Financial Conduct Authority (FCA) has banned David James Carter Mullins, Edward John Booth, Christopher Paul Brotherton and Mark Robert Kennedy, the former directors and shareholders of Secure My ... Read More
fined

EU Authority fines five Banks for €2.48 million in total

24/07/2018(0)
The European Securities and Markets Authority (ESMA) has fined Danske Bank, Nordea Bank, SEB, Svenska Handelsbanken and Swedbank €495,000 each and issued five public notices for negligently breaching the ... Read More
Broker Cyprus TopFX