FMA Issues Formal AML/CFT Warning to Fullerton Markets

The Financial Markets Authority (FMA) has issued a formal warning to Fullerton Markets Limited (Fullerton) under Section 80 of the Anti-Money Laundering and Countering Financing of...

Hedge Fund Adviser Charged for Inadequate Controls to Prevent Insider Trading

The Securities and Exchange Commission today announced that hedge fund advisory firm Deerfield Management Company L.P. has agreed to pay more than $4.6 million...

Polish Ministry of Finance Wants to Lower Forex Leverage to 1:25

On July 13th Polish Ministry of Finance submitted a draft of a new law, which aims in further limiting maximum leverage and stronger supervision...

List of Companies Operating Unlawfully in Belgium

The Financial Services and Markets Authority (FSMA) has, on several occasions, warned the public against the activities of various providers of/intermediaries in binary options...

FINRA, Bats, NASDAQ, and NYSE Fine Firms for Market Access Rule Violations

Four firms have been censured and fined a total of $4.75 million for violations of various provisions of Rule 15c3-5 of the Securities Exchange...

Canadian Securities Regulators Adopt Rules for Over-the-Counter Derivatives Clearing

The Canadian Securities Administrators (CSA) today announced two new national instruments affecting over-the-counter (OTC) derivatives trading in Canada. The national instruments are part of...

KDPW files an authorisation application under CSDR

On 29 September 2017, KDPW - The Central Securities Depository of Poland - has filed an application for authorisation under CSDR* with the Polish...

CFTC Orders J.P. Morgan Securities LLC to Pay $900,000 for Supervision Failures

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against J.P. Morgan Securities LLC (JPMS), a Delaware corporation...

SEC Detects Brokers Defrauding Customers

The Securities and Exchange Commission today charged three New York-based brokers with making unsuitable recommendations that resulted in substantial losses to customers and hefty...

Federal Court Orders Relief Defendants Westward International Ltd. and Coucarin Holdings Ltd. to Disgorge...

The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge James I. Cohn of the U.S. District Court for the Southern District of...

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