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Regulators News

SEC

SEC Charges Direct Edge Exchanges With Failing to Properly Describe Order Types

13/01/2015(0)
The Securities and Exchange Commission today announced that two exchanges formerly owned by Direct Edge Holdings and since acquired by BATS Global Markets have agreed to pay a $14 ... Read More
ECB - building

European Central Bank and Reserve Bank of India sign a Memorandum of Understanding on cooperation

13/01/2015(0)
Mario Draghi, President of the European Central Bank (ECB), and Raghuram Rajan, Governor of the Reserve Bank of India (RBI), today signed a Memorandum of Understanding on cooperation in ... Read More
bank-of-england

Bank of England maintains Bank Rate at 0.5%

09/01/2015(0)
Bank Rate at 0.5% Asset Purchase Programme at £375 billion The Bank of England’s Monetary Policy Committee at its meeting on 08 January 2015 voted to maintain Bank Rate ... Read More
Swiss franc - chf

Swiss National Bank expects annual profit of CHF 38 billion

09/01/2015(0)
Large annual profit allows for supplementary distribution According to provisional calculations, the Swiss National Bank (SNB) will report a profit in the order of CHF 38 billion for the ... Read More
kpmg

Bulgarian regulator to fine KPMG over Corpbank audit

09/01/2015(0)
A Bulgarian regulator said on Thursday it will fine the global accounting firm KPMG and two of its employees, saying they did not properly vet the books of Corporate ... Read More
finra1

Finra to Probe Broker Conflicts When Exchanges Offer Rebates

08/01/2015(0)
Some brokers might not be getting the best prices for clients when they send stock orders to exchanges that offer rebates, regulators said in an outline of annual oversight ... Read More
FCA_regulator

FCA warning against unauthorised firm

07/01/2015(0)
The Financial Conduct Authority (FCA), the British regulator, has issued a warning against “AGF Markets” (www.agfmarkets.com). The warning recommends that the public exercises extreme caution when dealing with this company, ... Read More
FCA_regulator

FCA warning against unauthorised firm

03/01/2015(0)
The Financial Conduct Authority (FCA), the British regulator, has issued a warning against “FXGL Capital” (www.fxglcapital.com). The warning recommends that the public exercises extreme caution when dealing with this company, ... Read More
finra1

FINRA Sanctions Monex Securities Inc. $1.3 Million for Failing to Register and Supervise Foreign Personnel

31/12/2014(0)
Firm’s President Fined and Suspended The Financial Industry Regulatory Authority (FINRA) announced today that it has ordered Monex Securities Inc. to pay $1,100,000 in disgorgement of commissions, plus interest, ... Read More
finra1

FINRA Fines Pershing LLC $3 Million for Customer Protection Rule Violations and Supervisory Failures

30/12/2014(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has censured and fined Pershing LLC $3 million for violating the Customer Protection Rule and for related supervisory failures. ... Read More
Broker Cyprus TopFX