Regulatory Archives - FinanceFeeds


11:18 pm UTC, March 27, 2018. By Maria Nikolova

GAIN Capital responds to ESMA statement

The broker believes that ESMA’s new regulations place less than 5% of full year 2018 total revenue at risk, based on an anticipated implementation date of the end of Q2 2018.

4:14 pm UTC, January 22, 2018. By Maria Nikolova

CySEC fines Spot Capital Markets Ltd for compliance failings

A fine of €50,000 has been imposed on the company for multiple compliance failings that occurred in the period between 1 January 2016 and 30 June 2016 that breached the policies and procedures CySEC enforces for investment funds and their third party service providers in order to guarantee full investor protection.

6:34 am UTC, January 11, 2017. By Andrew Saks-McLeod

ASIC warns customers about scam emails

The Australian Securities and Investments Commission (ASIC) is warning its Registry customers to be vigilant of scam emails purporting to…