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

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.

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

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...

CFTC Orders Hong Kong-Based Huafu HK Co. Ltd. to Pay $225,000 for Reporting Violations

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against Huafu HK Co. Ltd. (Huafu), a corporation based...

CFTC Issues Order of Registration to Eurex Zurich AG to Permit Trading by Direct...

The U.S. Commodity Futures Trading Commission (CFTC) announced today that it has issued an Order of Registration (Order) to Eurex Zurich AG (Eurex Zurich),...

Federal Court Orders Florida-Based North American Asset Management, LLC, Alexi Bethel, and Steven Labadie...

The U.S. Commodity Futures Trading Commission (CFTC) announced that Judge Jose E. Martinez of the U.S. District Court for the Southern District of Florida...

Central Bank Governors Welcome Global Code Of Conduct For Currency Markets

The Governors of the Global Economy Meeting welcome the publication of the FX Global Code, a single global code for the wholesale foreign exchange...

CFTC Staff Provides Relief Associated with Swap Trade Confirmations

The U.S. Commodity Futures Trading Commission's (CFTC) Division of Market Oversight (DMO) today issued a no-action letter extending relief associated with swap trade confirmation...

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...

Fake FCA emails

News from FCA website: We are aware that fraudsters are sending emails that appear to be from an FCA email address or refer to the FCA...

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