Busy days for the EU’s securities markets’ regulator ESMA, as the regulator has just published a public consultation on draft…
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Financial Services
Nomura pays misled bond clients $25m after SEC charges
The Securities and Exchange Commission (SEC) has yesterday informed the public that it has instituted two related enforcement actions against…
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UK FCA issues two more clone firm warnings
The UK Financial Conduct Authority (FCA) has put out details of two more clone firms this week – J and…
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ESMA fines the trade repository Regis-TR S.A. €56,000 for data access failures
EU’s securities markets’ regulator ESMA has just informed the public that it has fined the trade repository Regis-TR S.A. €56,000…
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FCA warns against Green Ash Partners LLP clone firm
The UK Financial Conduct Authority (FCA) has put out details of the cloned firm Green Ash Partners LLP. Fraudsters are…
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STOXX Low Carbon products licensed to Italian bank IMI
Deutsche Boerse Group’s STOXX Ltd. just announced that it has licensed its EURO iSTOXX® 50 Low Carbon NR Decrement 3.75%…
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ESMA warns providers selling CFDs to retail clients
The EU’s securities markets’ regulator ESMA has just published a statement addressed to providers marketing, distributing or selling CFDs to…
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ASIC cancels AFS licences of CWS Mortgage Ltd and Australian Mutual Holdings Limited
Australian regulator ASIC has announced earlier today that it has decided to cancel the AFS licences of the following two…
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New Zealand FMA warns against Ideal Services Direct Contact
The Financial Markets Authority (FMA) has recently added few more companies to its list of unregulated firms. The newest additions…
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CySEC permanently deletes Z. Holender Cyprus Office Ltd from the Register
The Cyprus Securities and Exchange Commission (CySEC) announces that, on 27th May 2019, the Company Providing Administrative Services Z. Holender…
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