MAS Issues Prohibition Orders Against Dennis Tey Thean Yang for Unauthorised Trading and Fraud
The Monetary Authority of Singapore (MAS) has issued two prohibition orders against Mr Tey Thean Yang Dennis. Mr Tey will be prohibited for a...
Italian CONSOB warns againts two unregulated entities
The National Commission for Companies and the Stock Exchange reports that:
the company FXGlory Ltd is not authorised to provide investment services and...
SC Files Civil Suit Against Dato’ Sreesanthan Eliathamby for Insider Trading
Securities Commission Malaysia (SC) has filed a civil suit at the Kuala Lumpur High Court against Dato’ Sreesanthan Eliathamby for insider trading involving the...
EZTS Inc. Charged With Misleading Investors About Binary Options Profitability
The Securities and Exchange Commission today announced that an Israeli-based firm must pay more than $1.7 million for misleading investors into trading binary options...
CYSEC Withdraw Authorization of UBFS Invest powered by Moneychoice Brokers Ltd
The Cyprus Securities and Exchange Commission (‘CySEC’) announces that, on its meeting of 28 th November 2016, has decided, pursuant to sections 25(1)(b), 25(1)(c)...
Enhanced regulatory environment set to fundamentally disrupt CFD trading industry
At least 23 CFD trading providers set to go under as consumer protection measures raise responsibility in the industry to new heights.
Regulations proposed by...
SEC Charges Two Brokers With Defrauding Customers
The Securities and Exchange Commission today charged two New York-based brokers with fraudulently using an in-and-out trading strategy that was unsuitable for customers in...
First Conviction Of Market Misconduct Under The Joint Investigations Arrangement With The Commercial Affairs...
Mr Tey Thean Yang Dennis (Tey) was today sentenced to a total of 16 weeks’ imprisonment as a result of a conviction arising from...
Federal Court in New York Orders Gary Creagh and His Company, Wall Street Pirate...
The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge J. Paul Oetken of the U.S. District Court for the Southern District of...
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...