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financial regulator

ASIC_regulator

ASIC targets mid-tier brokers on how they are managing conflicts of interest

02/06/2016(0)
The financial regulator is worried about how mid-tier research and broking firms are managing conflicts of interest. Australian Securities and Investments Commission chairman Greg Medcraft has told a large gathering ... Read More
CySEC

CySec issued a Circular regarding National Risk Assessment of Anti Money Laundering and Counter Terrorist Financing Measures

04/11/2015(0)
The Cyprus Securities and Exchange Commission (CySec), the financial regulator of Cyprus, has issued a Circular to inform Regulated Entities the following: 1) National Risk Assessment (‘NRA’) In accordance ... Read More
Bafin

Regulator Investigates Controls at Deutsche Bank Commodities Unit

20/06/2014(0)
Germany’s top financial regulator recently investigated internal controls at Deutsche Bank AG’s commodities unit, according to a person familiar with the probe. The regulator, BaFin, sent a letter to ... Read More
Broker Cyprus TopFX