Investor Compensation Fund for Falcon Brokers Ltd Clients
Pursuant to the provisions of paragraph 24 of Directive DI144-2007-15 of 2015 and further to a relevant decision of the Cyprus Securities and Exchange...
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...
The Financial Conduct Authority (FCA) bans two individuals from the financial services industry
On 22 November 2013, Richard Aston Clay (‘Mr Clay’) and Kathryn Joy Clark (‘Ms Clark’) were charged with dishonesty offences by the Serious Fraud...
CySEC: XForex with €225.000 fine
The Board of the Cyprus Securities and Exchange Commission (the ‘CySEC’) wishes to inform investors that, at its meeting held on September 26, 2016,...
FCA warns against SLS Trade
This firm is not authorised by the FCA and is targeting people in the UK. Based upon information local regulator holds, we may believe it is...
BCSC Warns Against Danesi Global and Crown Managers
BCSC warns about Danesi Global and Crown Managers on their website
Crown Managers
"Crown Managers claims to have offices in China, Norway, the United Kingdom 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...
FINRA Fines Merrill Lynch $2.8 Million for Systemic Reporting, Books and Records, and Related...
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner and Smith Inc. $2.8 million for systemic trade...
Another CIF Renounced Its CySEC Authorisation
The Cyprus Securities and Exchange Commission (‘CySEC’) announces that, on 10 October 2016, the CIF Glistentree Holdings Ltd (the ‘Company’), which provided investment services via the...
SFC commences cybersecurity review on brokers’ internet and mobile trading systems
The Securities and Futures Commission (SFC) has launched a review to assess the cybersecurity preparedness, compliance and resilience of brokers’ internet and mobile trading...