CySEC would like to remind the public that it never sends unsolicited correspondence to investors or members of the public, nor does it ever request any ...

The Cyprus Securities and Exchange Commission (‘CySEC’) wishes to inform investors that the following websites do not belong to an entity which has been ...

Transaction Reporting Failure

Financial penalty pursuant to section 63A(1) of the Act

For breaching Statements of Principle 4 and 6 of the FCA's Statements of Principle and Code of Practice for Approved Persons.

For breaching Statement of Principle 1 and Principle 7 of the Authority's Statements of Principle and Code of Practice for Approved Persons.

For failing to take reasonable care to organise and control its affairs responsibly and effectively with adequate risk management systems in relation to G10 ...

For failing to ensure financial promotions for CSI’s Cliquet Product were clear, fair and not misleading.

For engaging in market abuse to create a false or misleading impression in order to achieve profit.

For serious failings relating to its Chief Investment Office’s "London Whale" trades.