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Regulators News

Cyprus Securities and exchange commission (cysec)

CySec announces the suspension afresh of the authorisation of a Cyprus Investment Firm

06/08/2015(0)
The Cyprus Securities and Exchange Commission (CySec), the Cypriot financial regulatory authority, has announced that: Following previous announcements dated 12 June 2015 and 2 July 2015, the Cyprus Securities and ... Read More
finra1

FINRA USA Fines Aegis Capital Corp. $950,000

05/08/2015(0)
Two Chief Compliance Officers Fined and Suspended Aegis CEO Fined and Suspended for Failure to Report Liens The Financial Industry Regulatory Authority (FINRA) announced today that it has fined ... Read More
ASIC_regulator

ASIC releases enforcement report for the first half of 2015

05/08/2015(0)
ASIC today released its enforcement report for the period 1 January 2015 to 30 June 2015 In the last six months, ASIC achieved 323 enforcement outcomes to protect financial ... Read More
Consob-logo

Consob warns against unauthorised investment services companies

04/08/2015(0)
The National Commission for Companies and the Stock Exchange in Italy (Consob) has issued a press release to warn public about companies offering investment services without the required authorisation. ... Read More
fca-building

FCA warns the public for unauthorised firm and individual

04/08/2015(0)
FCA, the financial regulator of UK, has issued notices to warn public for a Debt Management company and an individual that believes that have been providing credit activities and ... Read More
Cyprus Securities and exchange commission (cysec)

CySec announced an administrative fine to Banc de Binary

03/08/2015(0)
The Cyprus Securities and Exchange Commission (‘CySEC’) has notified the public that at the meeting held 6th July 2015 decided to impose an administrative fine of €22.000 to Banc ... Read More
fma

FMA files civil proceedings against portfolio manager for alleged market manipulation

31/07/2015(0)
The Financial Markets Authority (FMA) has issued civil proceedings in the High Court seeking pecuniary penalties against Mr Mark Warminger for trading carried out while employed by Milford Asset ... Read More
Swiss National Bank

The Swiss National Bank (SNB) is reporting a loss of CHF 50.1 billion for the first half of 2015

31/07/2015(0)
The central bank of Switzwerland has issued a press release to inform for the Interim results The Swiss National Bank (SNB) is reporting a loss of CHF 50.1 billion ... Read More
SFC - Hong Kong

SFC reprimands and fines Nomura International (Hong Kong) Limited HK$4.5 million for regulatory breach

30/07/2015(0)
The Securities and Futures Commission (SFC) has reprimanded and fined Nomura International (Hong Kong) Limited (Nomura Hong Kong) HK$4.5 million for failing to report significant misconduct by a former ... Read More
finma

FINMA Switzerland warns for unauthorised firms

29/07/2015(0)
FINMA, the Swiss Supervisory authority, has issued a warning to inform investors for companies suspected of conducting unauthorised activities in the financial market. FINMA added on July 29 the ... Read More
Broker Cyprus TopFX