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investment firms

onestopbrokers-Regulators

Alert! Beware of companies offering financial services without the required license

14/12/2018(0)
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Switzerland (Swiss Financial Market Supervisory Authority – FINMA), China (Financial Supervisory Commission Chinese Taipei – FSC), Holland ... Read More
gp logo for post

GP Global announces the calendar of Continuous Professional Training Courses for 2018

28/09/2018(0)
G.P. GLOBAL LTD, a company that is specialised in offering services, training and seminars to CIFs since 2002, has issued an announcement to inform about the organisation of Continuous ... Read More
Securities Exchange Commission

Two investment firms charged with compliance failures

09/09/2016(0)
The Securities and Exchange Commission announced that two investment advisory firms are settling charges related to compliance failures within their wrap fee programs. SEC investigations found that St. Petersburg, Fla.-based ... Read More
FSMA logo

FSMA added new companies on its list of unauthorised investment firms in Belgium

05/05/2016(0)
The Financial Services and Markets Authority (FSMA) has issued an announcement to inform that the Authority has updated its list of providers of/intermediaries in binary options and forex products, “recovery rooms” ... Read More
Monex Group

Monex Group Reports Consolidated Financial Results (IFRS) for December 2015

28/01/2016(0)
Monex Group, Inc. today reported the following monthly consolidated financial results of Monex Group, Inc. for December 2015. The company informs that the figures stated below are un-audited and, ... Read More
CNMV

CNMV Spain warns on unregistered financial services firms

21/01/2016(0)
The regulatory body of the Spanish Stock Market, Comision Nacional del Mercado de Valores (CNMV), has issued a press release to inform public in relation with financial services firms ... Read More
saxo-bank logo

Saxo Bank reports increase in December Volume

07/01/2016(0)
Saxo Bank has issued a release to make public its monthly basis key figures for December, related to its activity, namely retail assets under management as well as daily ... Read More
saxo-bank logo

Saxo Bank released Monthly basis Key Figures

04/12/2015(0)
Saxo Bank has issued a release to make public its monthly basis key figures for November, related to its activity, namely retail assets under management as well as daily ... Read More
ESMA logo

ESMA consults on draft guidelines specifying criteria for the assessment of knowledge and competence in MiFID II

23/04/2015(0)
The European Securities and Markets Authority launched today a consultation on draft guidelines specifying criteria for the assessment of knowledge and competence of natural persons in investment firms that ... Read More
FCA_regulator

FCA released about Alpari (UK) Ltd entered into Special Administration Regime

21/01/2015(0)
With a FAQ, FCA informs what is the Special Administration Regime (SAR)? Why did Alpari (UK) Limited enter the SAR? and other necessary details. FAQs 1. What is the ... Read More
Broker Cyprus TopFX