Regulators News

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Citibank agreed to pay millions to settle charges

08/11/2018(0)
The Securities and Exchange Commission (SEC) announced that Citibank N.A. has agreed to pay $38.7 million to settle charges of improper handling of “pre-released” American Depositary Receipts (ADRs). ADRs ... Read More
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Individuals fined and banned from performing any role in regulated financial services

07/11/2018(0)
The Financial Conduct Authority (FCA), the conduct regulator for financial services firms and financial markets in the UK, has issued a press release to inform that The Upper Tribunal ... Read More
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Swap dealer ordered to pay a $900,000 fine

06/11/2018(0)
National Futures Association (NFA), a self-regulatory organization for the U.S. derivatives industry, has issued a press release to inform that has decided to order New York, NY swap dealer ... Read More
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CySEC announced withdrawal of Cyprus Investment Firm license

01/11/2018(0)
The Cyprus Securities and Exchange Commission (CySEC) has issued today an announcement to inform investors for the withdrawal of the authorisation of a Cyprus Investment Form.  In accordance the ... Read More
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FCA UK data shows record level of 4.13 million complaints for regulated firms

01/11/2018(0)
The Financial Conduct Authority (FCA) has published the complaints figures for regulated firms for the first half of 2018. Complaints continued to increase for the fourth successive half year, ... Read More
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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
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FCA published UK’s policy and regulatory approach to cryptoassets

30/10/2018(0)
The Financial Conduct Authority (FCA) has, as part of a Treasury (HMT) led Cryptoasset Taskforce published a report on the UK’s policy and regulatory approach to cryptoassets. The Taskforce ... Read More
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Beware of unauthorised companies offering financial services

26/10/2018(0)
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Ireland (Central Bank of Ireland), Austria (Financial Market Authority – FMA) and Italy (Consob) report the companies ... Read More
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CySEC imposed 10.000 euro fine to an individual

22/10/2018(0)
The Board of the Cyprus Securities and Exchange Commission (‘CySEC’) has issued an announcement to inform the public that, at its meeting held on 3rd September 2018, decided to impose ... Read More
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Alert: Beware of unauthorised companies providing investment services

18/10/2018(0)
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Austria (Financial Market Authority – FMA), Switzerland (Swiss Financial Market Supervisory Authority – FINMA), Quebec (Autorité des ... Read More
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