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Regulators News

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Dutch Authority for the Financial Markets fined a company for market manipulation

12/07/2017(0)
The Dutch Authority for the Financial Markets (AFM) has imposed an administrative fine of € 10,000 on the Spanish company Lexon Capital S.L. (Lexon). The fine was imposed because ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announced CIF license authorization for a Cyprus Investment Firm

12/07/2017(0)
The Cyprus Securities and Exchange Commission (CySec), the financial regulatory authority of Cyprus, has issued an announcement to inform that a new firm has been approved by the Commission ... Read More
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Assurance Capital Management and its owners fined $2.4 Million

12/07/2017(0)
The U.S. Commodity Futures Trading Commission (CFTC) has issued a press release to inform that the Federal Court in Florida Orders Anthony J. Klatch II, Lindsey Heim, and their ... Read More
esma (European Securities and Markets Authority)

ESMA Proposes Simplification for Prospectus

11/07/2017(0)
The European Securities and Markets Authority (ESMA) is publishing three Consultation Papers (CP) on the Prospectus Regulation. The Prospectus Regulation, in the context of the Capital Markets Union action ... Read More
FCA_regulator

Why free trade and open markets in financial services matter; Andrew Bailey, FCA Chief Executive

11/07/2017(0)
The Financial Conduct Authority (FCA), the conduct regulator for financial services firms and financial markets in the UK, has released a speech by Andrew Bailey, Chief Executive of the ... Read More
ESAs

European Supervisory Authorities publish Q&A on the Key Information Document (KID)

05/07/2017(0)
The Joint Committee, European Supervisory Authorities (ESAs), a forum with the objective of strengthening cooperation between the European Banking Authority (EBA), the European Insurance and Occupational Pensions Authority (EIOPA) ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announced settlement with a Cyprus Investment Firm for possible violations of the Law

05/07/2017(0)
The Cyprus Securities and Exchange Commission (CySec) has issued an announcement to make publish its decision about reach a settlement with a Cyprus Investment Firm (CIF). According the announcement: CySec, ... Read More
Cyprus Securities and exchange commission (cysec)

CySec released that a new Cyprus Investment Firm got the CIF license

04/07/2017(0)
The Cyprus Securities and Exchange Commission (CySec), the financial regulatory authority of Cyprus, has issued an announcement to inform that a new firm has been approved by the Commission ... Read More
SFC-logo-office

QMIS Securities Limited and former responsible officer convicted of giving SFC false or misleading information

03/07/2017(0)
The Eastern Magistrates’ Court has convicted QMIS Securities Limited (QMIS) and its former responsible officer (RO), Mr Huang Kuang Cheng, of making false or misleading representations when submitting licensing ... Read More
onestopbrokers-Regulators

Regulators release conclusions on the OTC derivatives regulatory regime

28/06/2017(0)
The Hong Kong Monetary Authority (HKMA) and the Securities and Futures Commission (SFC) today published conclusions on a joint consultation paper which proposed adjusting the scope of “OTC derivative ... Read More
Broker Cyprus TopFX