Maria Nikolova
Arta, featured, Freeman Commodities, SFC
0 Comments
The Securities and Futures Commission (SFC) of Hong Kong has reprimanded and fined Freeman Commodities Limited.
Maria Nikolova
ASIC, Crown Wealth Group, featured, Lighthouse Partners
0 Comments
ASIC has banned former financial adviser and director, Kiriley Roper (also known as Ms Suckling), from providing financial services for 10 years.
Maria Nikolova
AFS licence, ASIC, iPraxis
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ASIC has cancelled the AFS licenses of two Australian financial services providers for failure to pay industry funding levies.
Maria Nikolova
ASIC, Falcon Capital, featured, First Guardian
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ASIC has secured interim travel restraint orders against Falcon Capital Limited directors David Anderson and Simon Selimaj.
Maria Nikolova
FCA, FCA ban, featured, market manipulation
0 Comments
The Upper Tribunal has upheld the FCA’s decision to ban Diego Urra, Jorge Lopez Gonzalez and Poojan Sheth from working in financial services.
Maria Nikolova
Cantor Fitzgerald, featured, FINRA
0 Comments
Thomas Sapio, former Head of the U.S. Repurchase Agreements Desk (Repo Desk) at Cantor, is suspended for two months.
Gerald Segal
ASIC, featured, Investment Trends, Irene Guiamatsia
0 Comments
Irene Guiamatsia, who is based in Sydney, spent two years at ASIC (2019-2021) before joining Investment Trends as Head of Research.
Maria Nikolova
AFS licence, ASIC, Ballast Financial Management, featured
0 Comments
ASIC has cancelled the Australian financial services (AFS) licence of Perth-based financial services provider Ballast Financial Management.
LEADING BROKERS
LATEST NEWS
Broadridge enables compliance with EU instant payments regulations 
FINRA fines Isaak Bond Investments for alleged rule violations 
ASIC bans former Crown Wealth Group director Andrew Moore 
NFA orders Revankar Consultancy not to reapply for membership 
Sucden Financial secures $100M revolving credit facility 
FNG NEWSLETTER
With FNG's Newsletter you'll get all the latest breaking FX Industry news stories - in a concise daily email, directly to your Inbox.
Maria Nikolova
Arta, featured, Freeman Commodities, SFC
0 Comments
The Securities and Futures Commission (SFC) of Hong Kong has reprimanded and fined Freeman Commodities Limited.
Maria Nikolova
ASIC, Crown Wealth Group, featured, Lighthouse Partners
0 Comments
ASIC has banned former financial adviser and director, Kiriley Roper (also known as Ms Suckling), from providing financial services for 10 years.
Maria Nikolova
AFS licence, ASIC, iPraxis
0 Comments
ASIC has cancelled the AFS licenses of two Australian financial services providers for failure to pay industry funding levies.
Maria Nikolova
ASIC, Falcon Capital, featured, First Guardian
0 Comments
ASIC has secured interim travel restraint orders against Falcon Capital Limited directors David Anderson and Simon Selimaj.
Maria Nikolova
FCA, FCA ban, featured, market manipulation
0 Comments
The Upper Tribunal has upheld the FCA’s decision to ban Diego Urra, Jorge Lopez Gonzalez and Poojan Sheth from working in financial services.
Maria Nikolova
Cantor Fitzgerald, featured, FINRA
0 Comments
Thomas Sapio, former Head of the U.S. Repurchase Agreements Desk (Repo Desk) at Cantor, is suspended for two months.
Gerald Segal
ASIC, featured, Investment Trends, Irene Guiamatsia
0 Comments
Irene Guiamatsia, who is based in Sydney, spent two years at ASIC (2019-2021) before joining Investment Trends as Head of Research.
Maria Nikolova
AFS licence, ASIC, Ballast Financial Management, featured
0 Comments
ASIC has cancelled the Australian financial services (AFS) licence of Perth-based financial services provider Ballast Financial Management.
LEADING BROKERS
LATEST NEWS
Broadridge enables compliance with EU instant payments regulations FINRA fines Isaak Bond Investments for alleged rule violations ASIC bans former Crown Wealth Group director Andrew Moore NFA orders Revankar Consultancy not to reapply for membership Sucden Financial secures $100M revolving credit facility 
FNG NEWSLETTER
With FNG's Newsletter you'll get all the latest breaking FX Industry news stories - in a concise daily email, directly to your Inbox.
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