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Regulators News

fined

Former precious metals trader for UBS AG fined

08/02/2019(0)
The Commodity Futures Trading Commission (CFTC) has issued an announcement to inform that Judge Vanessa Bryant of the U.S. District Court for the District of Connecticut issued a Final ... Read More
fraud - red stamp

FCA warns public of investment scams as over £197 million reported losses in 2018

07/02/2019(0)
The Financial Conduct Authority (FCA) is warning investors to be vigilant to the threat posed by investment scammers, as data from Action Fraud reveals over £197 million1 of reported ... Read More
innovation

Cross-border testing pilot for innovative firms open to applications

01/02/2019(0)
The Global Financial Innovation Network (GFIN) – a group of 29 international organisations including the Financial Conduct Authority – is inviting applications from firms wishing to test innovative financial ... Read More
Ponzi-scheme-1

Ponzi Scheme ordered to pay $1 billion in penalties

30/01/2019(0)
The Securities and Exchange Commission announced that a federal court in Florida ordered Woodbridge Group of Companies LLC and its former owner to pay $1 billion in penalties and ... Read More
esma (European Securities and Markets Authority)

ESMA updates the MiFID II/MiFIR transitional transparency calculations

23/01/2019(0)
The European Securities and Markets Authority (ESMA) has issued a press release to inform that an updated version of the MiFID II/MiFIR transitional transparency calculations (TTC) is available. The ... Read More
Bafin

BaFin Germany plans renewed national restriction on CFDs for retail investors

07/01/2019(0)
After preparing for the expiry of the product intervention measure imposed by the European Securities and Markets Authority (ESMA) with regard to binary options, the Federal Financial Supervisory Authority ... Read More
binary-options

ESMA to renew prohibition in relation to Binary Options

28/12/2018(0)
The European Securities and Market Authority (ESMA) published an announcement in relation to the renewal of the prohibition on the marketing, distribution or sale of binary options to retail ... Read More
JPMorgan

JPMorgan to pay more than $135 million to settle charges

27/12/2018(0)
The Securities and Exchange Commission (SEC) announced that JPMorgan Chase Bank N.A. will pay more than $135 million to settle charges of improper handling of “pre-released” American Depositary Receipts ... Read More
esma (European Securities and Markets Authority)

ESMA agreed to renew the restriction on contracts for differences (CFDs)

21/12/2018(0)
The European Securities and Markets Authority (ESMA) has agreed to renew the restriction on the marketing, distribution or sale of contracts for differences (CFDs) to retail clients, in effect ... Read More
fed-logo-colour

Federal Reserve raises interest rates

20/12/2018(0)
The Federal Reserve has issued FOMC statement informing for its decision to raise the target for the federal funds rate to 2-1/4 to 2‑1/2 percent. Below is the federal ... Read More
Broker Cyprus TopFX