investor protection

binary-options

ESMA renews Binary Options prohibition

21/02/2019(0)
The European Securities and Markets Authority (ESMA) has agreed to renew the prohibition of the marketing, distribution or sale of binary options to retail clients, in effect since 2 ... Read More
fined

LPL Financial fined millions

01/11/2018(0)
The Financial Industry Regulatory Authority (FINRA), a not-for-profit organization dedicated to investor protection and market integrity in USA, has issued an announcement to inform that it has fined LPL ... Read More
esma (European Securities and Markets Authority)

ESMA finds high level of diversity in national markets for structured retail products

18/09/2018(0)
The European Securities and Markets Authority (ESMA) has carried out a study of the EU market in structured retail products, from an investor protection perspective. The research breaks down ... Read More
wARNING

Regulators in France warn for unauthorized websites and entities proposing Forex investments

25/06/2018(0)
The Autorité des marchés financiers (AMF) and the Autorité de contrôle prudentiel et de résolution (ACPR) issued a warning to inform the public against the activities of several websites ... Read More
finra-hdqrtrs_0

FINRA Board approves proposals to strengthen controls on high-risk brokers

12/05/2017(0)
The Financial Industry Regulatory Authority (FINRA) Board of Governors approved the next step in FINRA’s ongoing initiative to strengthen controls on brokers with a history of significant past misconduct ... Read More
ESMA logo

ESMA updates MiFID II/MIFIR investor protection Q&As

05/04/2017(0)
The European Securities and Markets Authority (ESMA) has added 10 new Q&As to its Questions and Answers (Q&A) document on the implementation of investor protection topics under the Market ... Read More
FCA-logo

FCA publishes near final rules on MiFID II

03/04/2017(0)
FCA publishes near final rules on MiFID II and encourages firms to submit applications for MiFID II authorisation The Financial Conduct Authority (FCA) has today published near final rules ... Read More
ESMA logo

ESMA updates MiFID II Q&A on Investor Protection

19/12/2016(0)
The European Securities and Markets Authority (ESMA) has added new Q&As to its Questions and Answers (Q&A) document on the implementation of investor protection topics under the Market in ... Read More
finra-hdqrtrs_0

FINRA Reports on Effective Practices for Digital Investment Advice

17/03/2016(0)
Financial services firms’ offerings of digital investment advice need sound governance and supervision, including effective means of overseeing suitability of recommendations, conflicts of interest, customer risk profiles and portfolio ... Read More
iosco

IOSCO Publishes the Securities Markets Risk Outlook 2016

03/03/2016(0)
The International Organization of Securities Commissions (IOSCO) today published the IOSCO Securities Markets Risk Outlook 2016, which identifies and examines key trends in global financial markets and the potential ... Read More
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