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Regulators News

osc ontario

OSC warns about an Investment Firm with address in Cyprus

11/09/2015(0)
The Ontario Securities Commission (OSC) has issued a Warning regarding: Ouroboros Derivatives Trading Ltd. Last known/disclosed address: 42-44 Griva Digeni Avenue, 1096, Nicosia, Cyprus According to OSC, Ouroboros Derivatives ... 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
CySEC

CySec issued warning for an Unauthorised Firm

10/09/2015(0)
The Cyprus Securities and Exchange Commission (CySec), the regulatory authority in Cyprus, has issued a press release to warn public in relation with an Unauthorised Firm. Specific, CySec warns ... Read More
SFC - Hong Kong

SFC warns on unlicensed entity Wells Fargo Global Investments (Hong Kong) Limited

10/09/2015(0)
Regulatory Commission of Hong Kong, Securities and Futures Commission (SFC), has issued a warning to inform public for an unlicensed entity with the name Wells Fargo Global Investments (Hong ... Read More
cftc-image-jpeg

CFTC launched RED LIST of Foreign Entities that Trade Foreign Currency and Binary Options

10/09/2015(2)
CFTC Publishes List of Foreign Entities that Illegally Solicit U.S. Residents to Trade Foreign Currency and Binary Options The New Registration Deficient ‘RED List’ Identifies Companies Operating Illegally The ... Read More
Bank of Russia, Moschow

The Bank of Russia reports on cancelling licences of firms offer broker activity

09/09/2015(0)
The Central Bank of Russia has issued a press release to inform that took a decision to cancel licences of a professional securities market participant following requests of the ... 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
CySEC

CySec Cyprus warns for unauthorised firm providing investment and ancillary services

08/09/2015(0)
The Cyprus Securities and Exchange Commission (CySec) has issued a press release to inform public for an unauthorised firm providing investment and ancillary services in Cyprus. Specific, CySec warns ... 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
sebi-buil2ding

Sebi inspecting JPMorgan MF’s books

08/09/2015(0)
Market regulator Sebi has started inspecting the books of the troubled JPMorgan Mutual Fund and is also looking into its processes to see what went wrong with two of ... Read More
Broker Cyprus TopFX