Regulation

6 AMLD not only affects the EU internal market but the global financial sphere.

The authority reminded financial firms of the MiFID II requirements on reverse solicitation.

The financial regulator warned against the rising number of unlicensed investment advisers.

Cormark agreed to pay $800,000 in penalty while SEC settled charges against Virtu ITG Canada with a $200,000 penalty.

Though getting PI insurance is difficult, companies need to pay close attention to other insurance requirements.

The regulator fined the broker for failing to protect the assets of retail customers.

48 percent of the European brokers are licensed in Cyprus.

The three banks said the report contained no new information as many lenders have long been under scrutiny in ...

Regulators in the UK and Italy went after Hoch Capital which was barred from providing services in both countries.

The already imposed temporary ban will become permanent on January 1, 2021.

The public consultation on the restriction will end on January 24, 2021.

The local regulator defied the ESMA restriction last year to offer higher leverages.

Both the companies failed to submit audited financial reports for several years.

The German authority found violations of the product intervention measures in 49% of all CFD providers.

The total number of licensed companies operating in Labuan IBFC crosses 800.

The fraudulent companies are impersonating legitimate public listed companies (PLCs) to dupe investors.

The regulator imposed heavy civil and money-laundering related penalties from January 2019 to June 2020.

Alfa Capital voluntary renounced CIF, but UGL Exchange lost authorisation after CySEC said it did not fulfil its license ...

Dealing with sophisticated clients is permitted without an AFS license.

New rule and amendments will provide a comprehensive approach for derivatives use by registered funds

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