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regulator

ASIC_regulator

ASIC bans former director and responsible manager of Macquarie subsidiary

16/02/2016(0)
ASIC has banned Mr Timothy Hornibrook of Clovelly, New South Wales, from providing financial services for a period of six years. Mr Hornibrook, formerly a director and responsible manager ... Read More
FCA_regulator

Fair, reasonable and non-discriminatory access to regulated benchmarks

08/02/2016(0)
In this Policy Statement FCA reports on the main issues arising from Consultation Paper 15/18 (Fair, reasonable and non-discriminatory access to regulated benchmarks) and publish the final rules. FCA ... Read More
eurozone-ecb

ECB:Monetary policy decisions

21/01/2016(0)
At today’s meeting the Governing Council of the ECB decided that the interest rate on the main refinancing operations and the interest rates on the marginal lending facility and ... Read More
IMF

IMF Executive Board Initiates Selection Process for Next Managing Director

21/01/2016(0)
The Dean of the Executive Board of the International Monetary Fund (IMF), Mr. Aleksei Mozhin, made the following statement on January 20: “I am very pleased to announce that ... Read More
SEC_logo

SEC: Alternative Fund Manager Overcharged Fees, Misled Investors

20/01/2016(0)
The Securities and Exchange Commission today announced that a Denver-based alternative fund manager has agreed to settle charges that the firm overcharged management fees and misled investors about how ... Read More
FSCS1-1030x769

FSCS publishes its Plan and Budget: 2016/17

20/01/2016(0)
The Financial Services Compensation Scheme (FSCS) today publishes its Plan and Budget: 2016/17. The document reveals details of a £363m indicative levy on firms for the period, foreshadows FSCS’s ... Read More
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Bank of America Reports Q4-15 Net Income of $3.3B, EPS of $0.28

20/01/2016(0)
Full-Year 2015 Net Income of $15.9B, EPS of $1.31 Financial Highlights • Revenue, net of interest expense, (FTE basis) up 4% to $19.8B(A) • Net interest income (NII) (FTE ... Read More
csrc_logo

CSRC’s regret at flaw in stocks supervision

18/01/2016(0)
THE head of China’s market regulator issued an unusual apology on Saturday for volatility in the country’s markets, acknowledging “shortcomings” in the way they have been supervised. “The abnormal ... Read More
china

China doesn’t restrict forex sales to individuals: regulator

14/01/2016(0)
The State Administration of Foreign Exchange (SAFE) said Wednesday it does not limit foreign currency sales to individuals, although China faces dropping forex reserves. SAFE denied media reports that ... Read More
finra-hdqrtrs_0

FINRA Sanctions Fidelity Brokerage Services LLC $1 Million for Supervisory Failures

21/12/2015(0)
Firm Failed to Follow Up on Red Flags to Detect or Prevent Theft of Funds From Senior Investors by Fraudster Posing as Fidelity Broker The Financial Industry Regulatory Authority ... Read More
Broker Cyprus TopFX