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Regulators News

FCA_regulator

FCA to regulate seven additional financial benchmarks

30/12/2014(0)
The Financial Conduct Authority (FCA) will regulate seven additional major UK-based financial benchmarks in the fixed income, commodity and currency markets from 1 April 2015. This extends the FCA’s ... Read More
AMF logo

AMF Updates List of Unauthorised Binary Options Providers

23/12/2014(0)
The Autorité des Marchés Financiers (AMF), warns the investors by publishing a new updated list of websites offering binary options trading, for which no authorised investment services provider could ... Read More
SEC

Sec charges Investment firm and former CEO

23/12/2014(0)
The Securities and Exchange Commission today announced that investment management firm F-Squared Investments has agreed to pay $35 million and admit wrongdoing to settle charges that it defrauded investors ... Read More
ESMA logo

ESMA provides implementing rules for MiFID II

22/12/2014(0)
The European Securities and Markets Authority (ESMA) has published on December 19 its final technical advice (TA) and launches a consultation on its draft regulatory technical and implementing standards ... Read More
finra1

FINRA Fines Wells Fargo Advisors and Wells Fargo Advisors Financial Network $1.5 Million for Anti-Money Laundering Failures

19/12/2014(0)
Firms Failed to Subject Over 200,000 New Accounts to Identity Verification The Financial Industry Regulatory Authority (FINRA) today announced that it has ordered two St. Louis-based broker-dealers under common ... Read More
swiss banks

Swiss National Bank introduces negative interest rates

18/12/2014(0)
Minimum exchange rate reaffirmed, and target range for threemonth Libor lowered into negative territory The Swiss National Bank (SNB) is imposing an interest rate of –0.25% on sight deposit account balances ... Read More
european-parliament

Ultimate owners of companies would have to be listed in central registers in EU countries

18/12/2014(0)
The ultimate owners of companies would have to be listed in central registers in EU countries, accessible to people with a “legitimate interest”, such as investigative journalists and other ... Read More
fed

Fed issued final rule to ensure the treatment of over-the-counter (OTC) derivatives, eligible margin loans, and repo-style transactions

17/12/2014(0)
The Board of Governors of the Federal Reserve System and Office of the Comptroller of the Currency today issued an interim final rule to ensure that the treatment of ... Read More
ESMA logo

Improvements needed in CRAs surveillance of structured finance credit ratings

17/12/2014(0)
The European Securities and Markets Authority (ESMA) has published a report on the findings of its investigation into the way credit rating agencies (CRA) conduct surveillance of their structured ... Read More
Central Bank of Ireland logo

Central Bank of Ireland Issues Warnings on Unauthorised Investment Firm/Investment Business Firm

16/12/2014(0)
The Central Bank of Ireland published the name of an unauthorised investment firm/investment business firm, Vantage Holdings Group Limited (Hong Kong). Vantage Holdings Group Limited (Hong Kong) is not authorised by the ... Read More
Broker Cyprus TopFX