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Regulators News

FCA_regulator

FCA warning against clone firm

16/12/2014(0)
The Financial Conduct Authority (FCA) of the United Kingdom has issued a warning to alert all recipients that: Artemis Fund Managers (clone of FCA authorised firm) Address: Cassini House, 152 ... Read More
FCA_regulator

Former Blackrock Asset Management Managing Director Banned

15/12/2014(0)
The Financial Conduct Authority (FCA) has banned Jonathan Paul Burrows from performing any function in relation to any regulated activities for not being fit and proper. Tracey McDermott the ... Read More
Bafin

BaFin release for global systemically important institutions

15/12/2014(0)
When global systemically important credit institutions fail – i.e. banks that are too big, too complex or too interconnected with other market participants to be able to exit the ... Read More
Reserve Bank of New Zealand

Reserve Bank of New Zealand release

15/12/2014(0)
The Reserve Bank is seeking Registrations of Interest (ROI) from potential vendors for the procurement of a Real-Time Gross Settlement System and a Security Settlement System with a Depository. ... Read More
ESMA logo

Addition by ESMA on its list of authorised CCPs under EMIR

15/12/2014(0)
ESMA has today added the Holland Clearing House B.V. to its list of authorised CCPs under the European Markets Infrastructure Regualtion (EMIR). EMIR requires EU-based CCPs to be registered ... Read More
SEC

SEC Penalizes Morgan Stanley for Violating Market Access Rule

11/12/2014(0)
The Securities and Exchange Commission today penalized Morgan Stanley & Co. LLC for violating the market access rule when it failed to uphold credit limits for a customer firm ... Read More
onestopbrokers-Regulators

Supervisory Authorities issued warnings on unauthorised companies

10/12/2014(0)
The supervisory authorities of the United Kingdom (Financial Conduct Authority – FCA), Ireland (Central Bank of Ireland), and Luxembourg (Commission de Surveillance du Secteur Financier – CSSF), report the following ... Read More
hkex

HKEx to Discontinue Trading of its Three-Year Exchange Fund Note Futures

10/12/2014(0)
Hong Kong Exchanges and Clearing Limited (HKEx) is discontinuing trading in its Three-Year Exchange Fund Note (EFN) Futures because the Hong Kong Monetary Authority will stop issuing Three-Year EFNs ... Read More
Consob-logo

Warning issued by CONSOB for not authorised firms offering investment services

10/12/2014(0)
The supervisory authority of Italy CONSOB has issued a report warning for the following companies offering investment services without the required authorisation. the company Up & Down Marketing Ltd ... Read More
onestopbrokers-Regulators

Warning against Ftradition LTD

09/12/2014(0)
The Netherlands Authority for the Financial Markets (AFM) warns consumers not to respond to offers from Ftradition LTD. This company is a suspected boiler room. Ftradition LTD has  approached ... Read More
Broker Cyprus TopFX