FINRA Fines Deutsche Bank $3.25 Million for Deficient Disclosures Concerning the Operation of Its...

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Deutsche Bank Securities Inc. $3.25 million for failing to provide the same...

ASIC releases world-first licensing exemption for fintech businesses

ASIC has today released class waivers to allow eligible financial technology (fintech) businesses to test certain specified services without holding an Australian financial services...

ASIC charges Sydney man with dishonest use of his position

Following an ASIC investigation, Mr Shun Yuen Ken Li (also known as Leo Lee), of Roseville Chase, New South Wales has pleaded guilty in the Downing Centre...

IronFX Sues Blogger

Well known insolvencies of IronFX have chance to show again after the broker decided to sue the German blogger fighting for due payments to...

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)...

SEC Files Charges in $26 Million Stock Manipulation Scheme

The Securities and Exchange Commission today charged two New Jersey-based traders with manipulating more than 2,000 NYSE- and NASDAQ-traded stocks and reaping more than...

SEC Awards Nearly $1 Million to Whistleblower

The Securities and Exchange Commission today announced an award of more than $900,000 to a whistleblower whose tip enabled the SEC to bring multiple...

Co-operation Agreement between the Financial Conduct Authority and the Hong Kong Monetary Authority

The UK’s Financial Conduct Authority (FCA) and the Hong Kong Monetary Authority (HKMA) have entered into a Co-operation Agreement (Agreement) to foster collaboration between the...

Titan Trade, Option Stars and OptionStarsGlobal on BCSC Warning List

Titan Trade Titan Trade claims to be based in Belize City, Belize, and offers an online binary options trading platform. A binary option is a type...

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...

GOOD TO KNOW!

RECENT ARTICLES