Regulators News

Bafin

BaFin Germany plans renewed national restriction on CFDs for retail investors

07/01/2019(0)
After preparing for the expiry of the product intervention measure imposed by the European Securities and Markets Authority (ESMA) with regard to binary options, the Federal Financial Supervisory Authority ... Read More
binary-options

ESMA to renew prohibition in relation to Binary Options

28/12/2018(0)
The European Securities and Market Authority (ESMA) published an announcement in relation to the renewal of the prohibition on the marketing, distribution or sale of binary options to retail ... Read More
JPMorgan

JPMorgan to pay more than $135 million to settle charges

27/12/2018(0)
The Securities and Exchange Commission (SEC) announced that JPMorgan Chase Bank N.A. will pay more than $135 million to settle charges of improper handling of “pre-released” American Depositary Receipts ... Read More
esma (European Securities and Markets Authority)

ESMA agreed to renew the restriction on contracts for differences (CFDs)

21/12/2018(0)
The European Securities and Markets Authority (ESMA) has agreed to renew the restriction on the marketing, distribution or sale of contracts for differences (CFDs) to retail clients, in effect ... Read More
fed-logo-colour

Federal Reserve raises interest rates

20/12/2018(0)
The Federal Reserve has issued FOMC statement informing for its decision to raise the target for the federal funds rate to 2-1/4 to 2‑1/2 percent. Below is the federal ... Read More
onestopbrokers-Regulators

Alert! Beware of companies offering financial services without the required license

14/12/2018(0)
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Switzerland (Swiss Financial Market Supervisory Authority – FINMA), China (Financial Supervisory Commission Chinese Taipei – FSC), Holland ... Read More
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Three Broker-Dealers to pay more than $6 Million in penalties

13/12/2018(0)
The Securities and Exchange Commission (SEC) announced that three broker-dealers have agreed to pay more than $6 million to settle charges for providing the SEC with incomplete and inaccurate ... Read More
penalty image

Penalty of $11 Million imposed for fraudulent commodity pool trading schemes

11/12/2018(0)
The Commodity Futures Trading Commission (CFTC) announced an Order of default judgment and permanent injunction has been issued against defendants Scott Allensworth (d/b/a Capital Growth Group Associates and Cobra ... Read More
insider trading 2

SEC halts alleged insider trading ring spanning three countries

07/12/2018(0)
The Securities and Exchange Commission (SEC) has filed insider trading charges against an IT contractor and two others he illegally tipped with confidential client information he stole while working ... Read More
fraud - red stamp

Individual sentenced to 5 years’ imprisonment for defrauding investors

03/12/2018(0)
The Financial Conduct Authority (FCA) has issued a press release to inform that an individual sentenced to 5 years’ imprisonment in FCA prosecution of £3m investment fraud. In accordance ... Read More
Broker Cyprus TopFX