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Regulators News

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SEC Charges Hedge Fund Adviser

07/09/2015(0)
The Securities and Exchange Commission (SEC) has issued a press release to inform that the Commission charges Seattle-Area Hedge Fund Adviser With Taking Unearned Management Fees. Two Accountants Charged ... Read More
SFC - Hong Kong

SFC regulator of Hong Kong warns on binary options broker OptionRally

07/09/2015(0)
Securities and Futures Commission, the Financial Regulator of Hong Kong, keeps on its website an Alert List that includes firms that are not licensed in Hong Kong and are ... Read More
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China regulator says punishes three stock trading platforms

03/09/2015(0)
China’s securities regulators said it would fine three firms that run stock trading platforms, after finding that they were offering services to unqualified investors, it said late on Wednesday. ... Read More
FCA_regulator

FCA warns on a Broker firm with office address in Cyprus

03/09/2015(0)
FCA, the Financial Conduct Authority of UK, has issued a warning to inform public regarding www.ubroker.com that the FCA believes that has been providing financial services or products in ... Read More
CySEC

CySec informs CIF’s and set deadline to comply regarding their web address and Domain name

02/09/2015(0)
The Cyprus Securities and Exchange Commission (CySec) has issued a circular to inform CIF’s regarding the website address they use, their Domain name and possible redirection of their clients ... Read More
FCA_regulator

FCA UK warns about a clone investment firm

02/09/2015(0)
The Financial Conduct Authority (FCA) of UK has issued a press release to warn public for a clone firm that fraudsters use as part of their tactics to scam ... Read More
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ESMA consults on MIFID II standards regarding trading suspensions, data service providers and derivatives reporting

02/09/2015(0)
The European Securities and Markets Authority (ESMA) has published a consultation paper (CP) on the remaining draft implementing technical standards (ITS) under MiFID II on which ESMA has not ... Read More
CNMV

CNMV Spain warns on unregistered investment services firms

01/09/2015(0)
The regulatory body of the Spanish Stock Market, Comision Nacional del Mercado de Valores (CNMV), has issued press releases to inform public in relation with firms that are not ... Read More
japan stocks

Japan Exchange Group will strenght Market Monitoring of Cross-border Transactions

31/08/2015(0)
Japan Exchange Regulation (JPX-R) has issued a press release to announce that it will establish an International Surveillance Office to Strengthen Market Monitoring of Cross-border Transactions. The office will ... Read More
ASIC_regulator

ASIC publishes third report on corporate finance regulation

21/08/2015(0)
ASIC has today published its third report on the regulation of corporate finance issues in Australia. The report, which covers the period January to June 2015, provides companies and ... Read More
Broker Cyprus TopFX