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Regulators fines

CySEC

CySec imposed an Administrative Fine of €138.000 on a Cyprus Investment Firm

11/07/2016(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to inform investors that, at its meeting held on June 06, 2016, the Commission decided to impose a ... Read More
FCA-logo

FCA fines Barclays £72 million. Barclays announces settlement

26/11/2015(0)
FCA fines Barclays £72 million for poor handling of financial crime risks Barclays announces settlement with the FCA The Financial Conduct Authority (FCA) has today fined Barclays Bank (Barclays) ... Read More
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Former Goldman Employee Charged With Insider Trading Before Mergers

26/11/2015(0)
The Securities and Exchange Commission announced insider trading charges against a former Goldman Sachs employee accused of stealing nonpublic information in the firm’s e-mail system so he could trade ... Read More
CySEC

CySec announced imposition of an administrative fine and reprimand for the Directors of Pulp International Business Ltd

24/11/2015(0)
The Cyprus Securities and Exchange Commission (CySec) issued an announcement to inform public regarding its decision to impose an administrative fine / reprimand to the Directors of Pulp International ... Read More
CySEC

CySec informs regarding the Continuance of Suspension of CIF license of an investment firm

02/11/2015(0)
The Cyprus Securities and Exchange Commission (CySec) has issued today an announcement to inform on its decision in the meeting dated 26 October for Continuance of Suspension of CIF ... Read More
CySEC

CySec announces the suspension of the authorisation of CIF ‘Falcon Brokers Ltd’

24/09/2015(0)
The Cyprus Securities and Exchange Commission (CySec), the Cypriot financial regulatory authority, has announced that: The authorisation of the Cyprus Investment Firm ‘Falcon Brokers Ltd’, number 128/10, is suspended, ... Read More
CySEC

CySec announced an administrative fine to a Firm providing Administrative Services

24/09/2015(0)
The Board of the Cyprus Securities Exchange Commission (‘CySEC’) would like to inform the public that, at the meeting held on August 3rd, 2015, decided to impose an administrative fine of ... Read More
sec-logo

SEC Announces Fraud Charges Against Financial Adviser

10/09/2015(0)
SEC Announces Fraud Charges Against Financial Adviser Accused of Greatly Exaggerating Assets Under Management and Investment Returns on Paid Radio Program The Securities and Exchange Commission announced fraud charges ... Read More
cftc

CFTC Orders FXCM to Pay More Than $843,000

09/09/2015(0)
The U.S. Commodity Futures Trading Commission (CFTC) has issued a press release to inform on its decision to order Forex Capital Markets, LLC to pay more than $843,000 for Supervision ... Read More
ASIC_regulator

ASIC Australia bans a broker and a former financial adviser from providing financial services

08/09/2015(0)
The Australian Securities & Investments Commission (ASIC), has issued a press release to inform in relation to its decision to ban broker Mr. Raghwa Nand Prasad from providing financial ... Read More
Broker Cyprus TopFX