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Regulators News

SEC

SEC Announces Charges Against Standard & Poor’s for Fraudulent Ratings Misconduct

22/01/2015(0)
The Securities and Exchange Commission today announced a series of federal securities law violations by Standard & Poor’s Ratings Services involving fraudulent misconduct in its ratings of certain commercial ... Read More
Bcsc canada regulator

BCSC panel finds that former broker lied to regulators and acted contrary to the public interest

21/01/2015(0)
A British Columbia Securities Commission panel has found that a former broker lied to regulators and acted contrary to the public interest. The panel found that Douglas William Falconer ... Read More
cftc-image-jpeg

CFTC Issues Order of Registration for the Tokyo Commodity Exchange, Inc.

21/01/2015(0)
The U.S. Commodity Futures Trading Commission (Commission) announced today that it has issued an Order of Registration to the Tokyo Commodity Exchange, Inc. (TOCOM), a Foreign Board of Trade ... Read More
FCA_regulator

FCA released about Alpari (UK) Ltd entered into Special Administration Regime

21/01/2015(0)
With a FAQ, FCA informs what is the Special Administration Regime (SAR)? Why did Alpari (UK) Limited enter the SAR? and other necessary details. FAQs 1. What is the ... Read More
FCA_regulator

FCA fines Reckitt Benckiser

20/01/2015(0)
FCA fines Reckitt Benckiser £539,800 for listing rule failures. FCA has issued a press release today regarding Reckitt Benckiser, stated that: Due inadequate systems and controls to monitor share-dealing by its ... Read More
bundesbank

Bundesbank successfully continues relocate gold

19/01/2015(0)
The Bundesbank successfully continued and further stepped up its transfers of gold last year. In 2014, 120 tonnes of gold were transferred to Frankfurt am Main from storage locations ... Read More
Swiss National Bank

SNB president defends shock move: reaction ‘overdone’

19/01/2015(0)
Reaction to the Swiss National Bank’s (SNB) scrapping of its cap on the value of the Swiss franc has been overdone, the bank’s president Thomas Jordan has said in ... Read More
ESMA logo

ESMA to cooperate with the Hong Kong SFC on CCPs

19/01/2015(0)
The European Securities and Markets Authority (ESMA) and the Hong Kong Securities and Futures Commission (SFC) have concluded a Memorandum of Understanding (MoU). The MoU establishes cooperation arrangements between ... Read More
finma

FINMA issues public warning

19/01/2015(0)
FINMA, the Swiss Financial Markets Supervisory Authority, issues public warning concerning information provided by the following companies: Alpen Asset Management Trust Sàrl, Geneva, API Premiere Swiss Trust AG, Zurich ... Read More
Cyprus Securities and exchange commission (cysec)

CySec requests further information from CIFs after the recent move on Swiss Franc

19/01/2015(0)
The recent move on the Swiss Franc has urgent CySec to ask information from the investment firms under its supervision, on the impact of the move on their business.  ... Read More
Broker Cyprus TopFX