ASIC: Charges laid against former FX trader
Former Deutsche Bank FX options and futures trader, Andrew Donaldson, of Bronte NSW, has been charged with 85 offences under s184(2) of the Corporations...
SEC Announces Enforcement Initiatives to Combat Cyber-Based Threats and Protect Retail Investors
The Securities and Exchange Commission today announced two new initiatives that will build on its Enforcement Division’s ongoing efforts to address cyber-based threats and...
CFTC Orders Convergent Wealth Advisors LLC to Pay an $800,000 Civil Monetary Penalty for...
The U.S. Commodity Futures Trading Commission (CFTC) today filed an Order instituting proceedings and settling charges against Convergent Wealth Advisors LLC (Convergence), an investment...
FCA Warning – GVQ Investment Funds (clone of FCA authorised firm)
FCA Warning published on their website
Fraudsters are using the details of firms we authorise to try to convince people that they work for a...
Appeals Court Rules Against EBS BrokerTec CTO Viral Tolat in Misappropriation of Trade Secrets...
Integral Development Corp. announced today that the U.S. Ninth Circuit Court of Appeals ruled against EBS BrokerTec CTO Viral Tolat in the misappropriation of...
SFC bans Lawrence Lai for 10 years
The Securities and Futures Commission (SFC) has prohibited Mr Lawrence Lai, a former representative of UOB Kay Hian (Hong Kong) Limited and UOB Kay...
SEC Awards $3.5 Million To Whistleblower
The Securities and Exchange Commission today announced that a whistleblower has been awarded approximately $3.5 million for coming forward with information that led to...
CySEC Blocking Brokers Bonuses on FX, CFD and Binary Options ! Leverage at 1:50?
On November 30 Cypriot regulator of financial markets (CySEC) ,under whose license (CIF) operates a number of European brokers, referred to the October document...
FCA fines Sonali Bank
The Financial Conduct Authority (FCA) has fined Sonali Bank (UK) Limited (SBUK) £3,250,600 and has imposed a restriction, preventing it from accepting deposits from...
FMA toughens approach to misuse of FSPR
The Financial Markets Authority’s report on the Financial Service Providers Register (FSPR) sets out its work to prevent the misuse of the FSPR between 2014 and...
