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regulators

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SFAT affirms SFC decision to reprimand and fine Moody’s over Red Flags Report

06/04/2016(0)
The Securities and Futures Commission (SFC) has reprimanded Moody’s Investors Service Hong Kong Limited (Moody’s) and fined it $11 million for various failures relating to its preparation and publication ... Read More
FCA_regulator

FCA publishes 2016/17 Business Plan

06/04/2016(0)
The Financial Conduct Authority (FCA) has today published its annual Business Plan. The Business Plan outlines seven priority themes which will guide how the FCA will use its flexible ... Read More
brokerage

Chinese Brokerages Rally on Revived Support for Margin Trading

21/03/2016(0)
State finance agency to resume offering shorter-dated loans Everbright Securities among firms that jumped by daily limit Chinese brokerages rallied after policy makers loosened controls on margin lending, which ... Read More
money_laundering

Barclays accused of ditching clients born in countries considered high-risk for money laundering

18/03/2016(0)
Barclays has been accused of ditching clients who were born in countries that are classified as high-risk after it was pulled up by the Financial Conduct Authority in November ... Read More
toshiba building

Toshiba confirms SEC investigation as accounting woes spread to US

18/03/2016(0)
Securities commission and justice department examining ‘accounting problem’ at US units, says Japanese corporation, amid profit-padding crisis Toshiba has announced its US businesses are cooperating with authorities over alleged accounting ... Read More
fed2

Federal Reserve issues FOMC statement

17/03/2016(0)
Information received since the Federal Open Market Committee met in January suggests that economic activity has been expanding at a moderate pace despite the global economic and financial developments ... Read More
cftc

CFTC Orders IBFX, Inc. to Pay a $1 Million Penalty

15/03/2016(0)
CFTC Orders Florida-based IBFX, Inc. (f/k/a TradeStation Forex, Inc.) to Pay a $1 Million Penalty for Failing to Meet Minimum Capital Requirements, Failing to Timely Report Minimum Net Capital ... Read More
mifid1

MiFID II deadline extended to January 2018

11/03/2016(0)
  The extension is to take account of the exceptional technical implementation challenges faced by regulators and market participants. The European Commission has proposed granting national competent authorities and ... Read More
ESAs

ESAs publish final draft technical standards on margin requirements for non-centrally cleared derivatives

10/03/2016(0)
The European Supervisory Authorities (EBA, EIOPA, ESMA – ESAs) published today the final draft Regulatory Technical Standards (RTS) outlining the framework of the European Market Infrastructure Regulation (EMIR). These ... Read More
fca-building

FCA launches ‘Live & Local’: a new regional programme to help local firms engage with regulators

02/03/2016(0)
The Financial Conduct Authority (FCA) has launched ‘Live & Local’, a regional programme which will include a series of events, workshops and roundtables, taking place across 12 regions in ... Read More
Broker Cyprus TopFX