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    SFC bans Lawrence Lai for 10 years

    Regulation Comparic Team -
    The Securities and Futures Commission (SFC) has prohibited Mr Lawrence Lai, a former representative of UOB Kay Hian (Hong Kong) Limited and UOB Kay...

    CFTC Staff Provides Relief Associated with Swap Trade Confirmations

    Regulation Comparic Team -
    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...

    ESMA Fines Moody’s €1.24 Million For Credit Ratings Breaches

    Regulation Comparic Team -
    The European Securities and Markets Authority (ESMA) has fined Moody’s Deutschland GmbH (Moody’s Germany) €750,000 and Moody’s Investors Service Limited (Moody’s UK) €490,000, and...

    CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Extension of Time-Limited No-Action Relief...

    Regulation Comparic Team -
    The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued an extension of the time-limited no-action relief...

    SGX Mandates Minimum Allocation Of Mainboard IPOs To Retail Investors

    Regulation Comparic Team -
    Singapore Exchange (SGX) will mandate all Mainboard IPO companies to allocate to retail investors, at least 5%, or S$50 million, whichever is lower, of...

    ASIC Reports on Decisions to Cut Red Tape – April to September 2017

    Regulation Comparic Team -
    ASIC has released its latest report outlining decisions on relief applications, highlighting ASIC’s efforts to reduce red-tape and achieve a practical, positive outcome for...

    Fake FCA emails

    Regulation Comparic Team -
    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...

    ASIC consults on consolidating ASIC market integrity rules

    Regulation Comparic Team -
    ASIC has today released a consultation paper proposing to consolidate and clarify Australia's market integrity rules. There are currently 14 market integrity rule books that...

    CFTC Grants Registration to NEX SEF Limited

    Regulation Comparic Team -
    The U.S. Commodity Futures Trading Commission (CFTC) announced today that it has issued an Order of Registration to NEX SEF Limited (NEX SEF), of...

    Investment Bank VP Charged With Insider Trading

    Regulation Comparic Team -
    The Securities and Exchange Commission today charged a vice president in the risk management department of a New York-based investment bank with insider trading...
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    CFDs are complex instruments and come with a high risk of losing money rapidly due to leverage. From 74% to 89% of retail investor accounts have money losses as a result of trading CFDs. Think about whether you understand how CFDs work and whether you can afford the high risk of losing your money.

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