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    SEC charged an investment adviser for a Ponzi-like scheme

    Regulation Comparic Team -
    The Securities and Exchange Commission charged last week a Westchester, New York-based investment adviser with fraud stemming from lies to retail investors about the...

    ASIC Reports on Conduct in Funds Management and Makes Recommendations for Improved Compliance

    Regulation Comparic Team -
    ASIC has reported on the findings of its' proactive surveillance of responsible entities' compliance with their legal obligations. These are entities that operate managed...

    Citigroup Global Markets Australia Pays $50,000 In Infringement Notice Penalty

    Regulation Comparic Team -
    Citigroup Global Markets Australia Pty Ltd ('Citigroup') has paid a penalty of $50,000 to comply with an infringement notice given to it by the...

    MAS Revokes the Capital Markets Services Licence of One Asia Investment Partners Pte. Ltd.

    Regulation Comparic Team -
    The Monetary Authority of Singapore (MAS) has revoked the capital markets services licence (CMSL) of One Asia Investment Partners Pte. Ltd. (OAIP) with effect...

    TradAir CEO, Illit Geller to Step Down

    Regulation Comparic Team -
    TradAir, the global provider of Trading Technology solutions for banks, brokers, prime of primes and regulated marketplaces, announced today that Illit Geller, co-founder and...

    CySEC Concludes Two-Year Investigation Into CommexFX

    Regulation Comparic Team -
    The Cyprus Securities and Exchange Commission (“CySEC”) has today imposed a series of financial penalties on a number of directors and relevant persons of...

    Exness Upgrades FCA License And Prepares For UK Operations

    Regulation Comparic Team -
    Exness is pleased to announce that its UK entity, Exness Europe Limited (EEL), has received approval from the FCA to upgrade its permissions to...

    Pan-European Securities Issuance And DLT On ECB Agenda

    Regulation Comparic Team -
    The European Central Bank is pondering the creation of a pan-European service for issuance of securities - and the potential role of distributed ledger...

    SGX, ABS, ISCA, Law Society and SID Jointly Launch Guide on Prevention of Insider...

    Regulation Comparic Team -
    Singapore Exchange (“SGX”), together with the Association of Banks in Singapore (ABS), the Institute of Singapore Chartered Accountants (ISCA), the Law Society of Singapore...

    SEC Charges Brokerage Firm With Failing to Comply With Anti-Money Laundering Laws

    Regulation Comparic Team -
    The Securities and Exchange Commission today charged a Salt Lake City-based brokerage firm with securities law violations related to its alleged practice of clearing...
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