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Regulators News

SEC

SEC Charges UBS Subsidiary With Disclosure Violations and Other Regulatory Failures in Operating Dark Pool

16/01/2015(0)
The Securities and Exchange Commission today charged a subsidiary of UBS with disclosure failures and other securities law violations related to the operation and marketing of its dark pool. ... Read More
Swiss National Bank

Swiss National Bank press conference on Discontinuation of the minimum exchange rate

15/01/2015(0)
Discontinuation of the minimum exchange rate The Swiss National Bank (SNB) has decided to discontinue the minimum exchange rate ofCHF 1.20 per euro with immediate effect and to cease ... Read More
SEC

SEC Adopts Rules to Increase Transparency in Security-Based Swap Market

15/01/2015(0)
The Securities and Exchange Commission today adopted two new sets of rules that will require security-based swap data repositories (SDRs) to register with the SEC and prescribe reporting and ... Read More
Swiss National Bank

Swiss National Bank discontinues minimum exchange rate and lowers interest rate to –0.75%

15/01/2015(0)
Target range moved further into negative territory The Swiss National Bank (SNB) is discontinuing the minimum exchange rate of CHF 1.20 per euro. At the same time, it is lowering ... Read More
money-indian rupee

India’s central bank cuts key interest rate by quarter point

15/01/2015(0)
The Reserve Bank of India cut its key interest rate Thursday by a quarter percentage point in a surprise move that adds impetus to government efforts to revive Asia’s ... Read More
ECB - building

European Court of Justice – Outright Monetary Transactions (OMTs) case

14/01/2015(0)
Comments by Yves Mersch, Member of the Executive Board, on the legal opinion of the Advocate General of the European Court of Justice in the OMT case OMT case ... Read More
RBNZ

Reserve Bank of New Zealand – Central Bank of the Year

14/01/2015(0)
The Central Bank of the Year award given to the Reserve Bank of New Zealand RBNZ Chair Comments on Central Bank of the Year Award The Central Bank of ... Read More
nfa log

National Futures Association fines

13/01/2015(0)
NFA orders Orlando, Fla. firm Diamond Head Capital LLC to permanently withdraw from NFA membership and fines eFloorTrade LLC, John A. Moore and Christopher T. Moore. National Futures Association ... Read More
onestopbrokers-Regulators

Supervisory Authorities issued warnings on unauthorised companies

13/01/2015(0)
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Austria (Financial Market Authority – FMA) and Norway (Finanstilsynet), report the following companies offering investment services without the required ... Read More
FCA_regulator

FCA warning against unauthorised firm

13/01/2015(0)
The Financial Conduct Authority (FCA), the British regulator, has issued a warning against “Wakamy Libman and Associates” (www.wakamylibman.com). The warning recommends that the public exercises extreme caution when dealing ... Read More
Broker Cyprus TopFX