SEC files charges against Dolphin Associates III and Donald Netter
The SEC today filed charges against Connecticut-based Dolphin Associates III, LLC, and its principal, Donald T. Netter.
Regulatory News
Regulatory News
SFC bans responsible officer of Agg. Asset Management for life
Maria Nikolova
featured, SFC
0 Comments
Hong Kong’s SFC has banned Mr Ng Ka Shun, responsible officer of Agg. Asset Management Limited, for life.
Westpac New Zealand admits to misleading representations leading to $6.35M in overcharges
Maria Nikolova
featured, FMA New Zealand, Westpac
0 Comments
Westpac New Zealand Limited has admitted to misleading customers entitled to advertised discounts.
Sanlam provides court enforceable undertaking to ASIC
Maria Nikolova
ASIC, featured, Sanlam
0 Comments
The Australian arm of South African financial services conglomerate Sanlam Group will need to have its compliance processes reviewed.
NZ regulator files civil proceedings against InvestNow
Maria Nikolova
FMA, InvestNow
0 Comments
The Financial Markets Authority (FMA) of New Zealand has filed civil proceedings against InvestNow Saving and Investment Service.
ASIC suspends licence of Equitise
Maria Nikolova
AFS licence, ASIC, Equitise, featured
0 Comments
The Australian Securities and Investments Commission (ASIC) has suspended the AFS licence of Equtise Pty Ltd.
Italy’s CONSOB blocks access to six websites, total reaches 1,200
Maria Nikolova
Consob, featured, Forex websites blocked
0 Comments
Italy’s Companies and Exchange Commission (CONSOB) has issued orders for the blocking of access to six unauthorised investment websites.
Fxview operator Charlgate fined €50K around protection of client funds, order execution
Gerald Segal
Charlgate Ltd, CySEC fine, featured, Finvasia, Fxview
0 Comments
Charlgate Ltd and Fxview are part of the Finvasia group of companies.
LEADING BROKERS
LATEST NEWS
SEC files charges against Dolphin Associates III and Donald Netter
December 23, 2024- TradingView adds futures, indices, and spot data from ICE Endex
December 23, 2024 - Fiserv to acquire Payfare
December 23, 2024 - SFC bans responsible officer of Agg. Asset Management for life
December 23, 2024 - Japanese regulator lodges criminal complaint against former employee of Tokyo Stock Exchange
December 23, 2024
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Regulatory News
SEC files charges against Dolphin Associates III and Donald Netter
The SEC today filed charges against Connecticut-based Dolphin Associates III, LLC, and its principal, Donald T. Netter.
SFC bans responsible officer of Agg. Asset Management for life
Maria Nikolova
featured, SFC
0 Comments
Hong Kong’s SFC has banned Mr Ng Ka Shun, responsible officer of Agg. Asset Management Limited, for life.
Westpac New Zealand admits to misleading representations leading to $6.35M in overcharges
Maria Nikolova
featured, FMA New Zealand, Westpac
0 Comments
Westpac New Zealand Limited has admitted to misleading customers entitled to advertised discounts.
Sanlam provides court enforceable undertaking to ASIC
Maria Nikolova
ASIC, featured, Sanlam
0 Comments
The Australian arm of South African financial services conglomerate Sanlam Group will need to have its compliance processes reviewed.
NZ regulator files civil proceedings against InvestNow
Maria Nikolova
FMA, InvestNow
0 Comments
The Financial Markets Authority (FMA) of New Zealand has filed civil proceedings against InvestNow Saving and Investment Service.
ASIC suspends licence of Equitise
Maria Nikolova
AFS licence, ASIC, Equitise, featured
0 Comments
The Australian Securities and Investments Commission (ASIC) has suspended the AFS licence of Equtise Pty Ltd.
Italy’s CONSOB blocks access to six websites, total reaches 1,200
Maria Nikolova
Consob, featured, Forex websites blocked
0 Comments
Italy’s Companies and Exchange Commission (CONSOB) has issued orders for the blocking of access to six unauthorised investment websites.
Fxview operator Charlgate fined €50K around protection of client funds, order execution
Gerald Segal
Charlgate Ltd, CySEC fine, featured, Finvasia, Fxview
0 Comments
Charlgate Ltd and Fxview are part of the Finvasia group of companies.
Regulatory News
LEADING BROKERS
LATEST NEWS
- SEC files charges against Dolphin Associates III and Donald Netter
December 23, 2024 - TradingView adds futures, indices, and spot data from ICE Endex
December 23, 2024 - Fiserv to acquire Payfare
December 23, 2024 - SFC bans responsible officer of Agg. Asset Management for life
December 23, 2024 - Japanese regulator lodges criminal complaint against former employee of Tokyo Stock Exchange
December 23, 2024
FNG NEWSLETTER
Don't Miss a Story!
With FNG's Newsletter you'll get all the latest breaking FX Industry news stories - in a concise daily email, directly to your Inbox.
You have Successfully Subscribed!
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