Category: Regulation

ESMA bond liquidity data
April 10, 2017 BY Valentina Kirilova

ESMA reports on EU accounting enforcement in 2016

The European Securities and Markets Authority (ESMA) has published its annual report on the enforcement and regulatory activities of accounting enforcers within the European Union (EU) in 2016. ESMA, in 2016, continued strengthening supervisory convergence in the area of financial reporting, to improve the consistency and quality across the EU. ESMA achieves this through coordinating…

Read more
sfc warning
April 10, 2017 BY Valentina Kirilova

Hong Kong SFC adds Pearson Investments to its alert list

Hong Kong’s financial regulator the Securities and Futures Commission (SFC) has updated its Alert List, which features the names of businesses that are unlicensed in Hong Kong and are believed to be, or to have been, targeting Hong Kong investors or claim to have an association with Hong Kong. Added to the SFC Alert List…

Read more
April 10, 2017 BY Valentina Kirilova

FCA and PRA commence investigations into Jes Staley and Barclays

Barclays PLC and Barclays Bank PLC (LON:BARC) just announced that the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have commenced investigations into: Jes Staley, Group Chief Executive Officer of Barclays, as to his individual conduct and senior manager responsibilities relating to Barclays whistleblowing programme and an attempt by Mr Staley in 2016 to…

Read more
fma warns against unregulated company
April 10, 2017 BY Valentina Kirilova

Italy regulator CONSOB warns against Binary Option Robot

The National Commission for Companies and the Stock Exchange (Commissione Nazionale per le Società e la Borsa – CONSOB) just warned against the company Binary Option Robot. Binary Option Robot is not authorised in Italy to use cold calling, i.e. to promote or set up by means of any method, via distance communication, investment services or…

Read more
April 07, 2017 BY Valentina Kirilova

FCA warns against Money Information Service firm

UK financial regulator Financial Conduct Authority (FCA) has issued its latest warning against an unregulated financial services provider targeting UK consumers. The FCA’s latest warning is against the firm Money Information Service. Money Information Service is not authorised by the FCA but has been targeting people in the UK and is also carrying on regulated…

Read more
April 07, 2017 BY Valentina Kirilova

FCA warns against Lawson Consultancy Limited firm

UK financial regulator Financial Conduct Authority (FCA) has issued its latest warning against an unregulated financial services provider targeting UK consumers. The FCA’s latest warning is against the firm Lawson Consultancy Limited. Lawson Consultancy Limited is not authorised by the FCA but has been targeting people in the UK and is also carrying on regulated…

Read more
April 07, 2017 BY Valentina Kirilova

CySEC releases another impersonators scam warning

Cyprus financial regulator CySEC puts out some version of a warning against impersonators appearing as CySEC officials in an attempt to scam unsuspecting investors quite often these days. CySEC again reminded investors and the general public of the following: From time to time it comes to the attention of CySEC that unknown entities or individuals present…

Read more