Nearly all national regulators in the European Union have followed the lead of the European Securities and Markets Authority and taken steps to thwart the marketing, distribution or sale of binary options and CFDs to retail clients. ESMA, however, is not satisfied and wants powers to make them do more.
South Africa's Financial Sector Conduct Authority is warning the public against acompany called Western Loan Finance, which falsely uses the name of the now-defunct Financial Services Board to defraud members of the public by offering them opportunities to receive financial loans.
The US Securities and Exchange Commission has revised the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules.
The UK's Financial Conduct Authority has banned Paul Grant, a former independent financial advisor, from financial services after he was convicted of fraud.
The US Securities and Exchange Commission is warning investors about frauds involving claims that this-or-that company’s products or services will help stop the global pandemic whose cases are doubling in numb...
With the dust from the European Union's second Markets in Financial Instruments Directive finally starting to settle, the attention of financial firms is understandably turning towards the next four-letter regul...
The European Union's fifth Anti-Money Laundering Directive has added to the multitude of firms and people who must report their suspicions to the authorities, but it contains some ambiguities that relate to the ...
With the European Union's Fundamental Review of the Trading Book looming, financial institutions are starting to set more and more resources aside for compliance projects to do with the regulation....
The word 'expect' or 'expectation' surfaces 17 times in a letter that the UK's Financial Conduct Authority sent to asset managers recently. ...
Nearly all national regulators in the European Union have followed the lead of the European Securities and Markets Authority and taken steps to thwart the marketing, distribution or sale of binary options and CF...
South Africa's Financial Sector Conduct Authority is warning the public against acompany called Western Loan Finance, which falsely uses the name of the now-defunct Financial Services Board to defraud members of...
The US Securities and Exchange Commission has revised the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules. ...
The UK's Financial Conduct Authority has banned Paul Grant, a former independent financial advisor, from financial services after he was convicted of fraud....
Thomas Schneider, a veteran chief auditor with deep regulatory know-how, will be proposed at the next Annual General Meeting of GAM Holding AG on 30 April for election as a new member of the board. ...