non compliance with Regulation
CySec
The Board of the Cyprus Securities and Exchange Commission (‘CySEC’) wishes to inform the public that, at its meeting held on 20th November 2017, decided to ...
The Cyprus Securities and Exchange Commission (‘CySEC’) wishes to inform investors that the website ECN Capital, does not belong to an entity which has been ...
The Cyprus Securities and Exchange Commission announces that the authorisation of the Cyprus Investment Firm AFX Capital Markets Ltd (‘the Company’), number ...
Warning for investor protection regarding a so-called "City Group Italy Banking Group" The Cyprus Securities and Exchange Commission ("CySEC") would like to ...
The Cyprus Securities and Exchange Commission (‘CySEC’) wishes to inform investors that the following websites do not belong to an entity which has been ...
Breached Principles 3 (management and control) and 6 (customers’ interests) of the Authority’s Principles or Businesses in relation to its handling of PPI ...
FCA
For breaching Statement of Principle 6.
For breaching Principle 10 and for breaching a number of rules in Chapter 6 of the Client Assets Sourcebook
