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Regulators News

New Zealand stock exchange

Phase two of financial markets law completes long-term overhaul

28/11/2014(0)
The second phase of New Zealand’s new capital markets and financial services law takes effect from Monday (1 December). Phase two includes licensing provisions that extend to several hundred ... Read More
ASIC logo

Asic announce cancellation of credit licence and bans director

25/11/2014(0)
ASIC has cancelled the Australian credit licence (credit licence) of Net Finance (Corp) Pty Ltd (Net Finance) and banned its director, Mr Graham Tandy, from the credit industry for ... Read More
onestopbrokers-Regulators

Supervisory Authorities issued warnings on unauthorised companies

24/11/2014(0)
The Central Bank of Ireland, the Italian financial market regulator CONSOB and the Bulgarian Financial Supervision Commission reported that: 1) Phoenix Financial Services (USA) and Miyako Mergers & Acquisitions (Japan) ... Read More
SEC

SEC Charges Penny Stock Company Executives in New Jersey With Issuing False Press Releases to Inflate Stock Price

24/11/2014(0)
The Securities and Exchange Commission today charged father-and-son executives at a New Jersey-based penny stock company for issuing false and misleading press releases while secretly selling thousands of their ... Read More
ASIC_regulator

ASIC issues warning about unlicensed FX dealer YoutradeFX

19/11/2014(0)
ASIC has today cautioned Australian investors against dealing with the company or group YoutradeFX for trading in margin foreign exchange (FX). ASIC advises that YoutradeFX is not regulated by ... Read More
SEC

SEC Charges Unregistered Broker With Stealing From Investors in Fraudulent Day Trading Scheme

19/11/2014(0)
The SEC alleges that Albert J. Scipione and his business partner solicited investors to establish accounts at their company called Traders Café for the purposes of day trading, which ... Read More
Broker Cyprus TopFX