financial markets regulators

Federal and state governments have a myriad of agencies in place that regulate and oversee financial markets and companies. Find out how these government agencies govern the financial markets. Stay informed of the latest financial markets regulators’ news and developments with BinaryOptionsWire.

France’s AMF warns about Preditrend and pro-algorithm sites
  • Thursday 29 October, 2015

France’s AMF warns about Preditrend and pro-algorithm sites

The French financial markets regulator, the Autorité des Marchés Financiers (AMF) which is one of the most vocal and proactive watchdogs, has recently issued a general public warning about sites touting the benefits of an algorithm and linking to a trading platform, which also contains a specific warning about Preditrend. More specifically, through the ...

New Zealand’s FMA white paper on things stopping good investment decisions
  • Thursday 29 October, 2015

New Zealand’s FMA white paper on things stopping good investment decisions

The government of New Zealand has shown a keen interest in understanding the best ways to improve financial capability, including through policy design and consumer protection regulation and supervision. Within this framework, the country’s Financial Markets Authority (FMA) has recently published the first in an occasional series of papers that it intends to ...

Scam Alert: FCA warns against binary broker RBS Bourse
  • Thursday 29 October, 2015

Scam Alert: FCA warns against binary broker RBS Bourse

Last month the French financial markets watchdog, the AMF, had added binary options broker RBS Bourse to its “Black List” of unauthorized binary options firms. At look at this entity’s website reveals that although it claims to be based in London its main working language is French and it appears to be focusing on targeting French speaking ...

CySEC regulated entities ordered to come clean on any Mossack Fonseca links
  • Thursday 29 October, 2015

CySEC regulated entities ordered to come clean on any Mossack Fonseca links

The story which has been making headlines and even toppling governments recently, namely the leak of the so called Panama Papers, which had demonstrated how a series of suspicious-looking transactions went through Panama, Russia, Switzerland, and Cyprus, with hundreds of millions in unsecured loans ending up with companies allegedly controlled by individuals in ...

CySEC imposes changes on binary options trading
  • Thursday 29 October, 2015

CySEC imposes changes on binary options trading

Back in December we had reported how CySEC, the market regulator in the jurisdiction of Cyprus which is a very popular hub for binary options brokers, published a consultation paper inviting the investment firms under its supervision to submit their comments and views on a series of proposed changes in the regulatory framework of binary options trading, aiming ...

CySEC warning about the circulation of misleading emails
  • Thursday 29 October, 2015

CySEC warning about the circulation of misleading emails

Many brokers and/or investment services firms often engage in dubious and shady practices during their promotional campaigns, which in several instances contain information that is not valid and therefore misleading, thus trying to lure potential customers under false pretenses. Through an announcement dated 7 April 2016, CySEC, the Cyprus watchdog warns the ...

Scam Alert: New Zealand’s FMA adds another broker to its warning list
  • Thursday 29 October, 2015

Scam Alert: New Zealand’s FMA adds another broker to its warning list

New Zealand’s Financial Markets Authority (FMA), maintains a list entitled “Businesses to be wary of”, in the framework of its mandate and commitment to protect investors “from businesses who are (or have been) registered on the Financial Service Providers Register (FSPR) but are the subject of complaints about loss of investor funds, or other serious ...

New Zealand's regulator keeps removing financial firms
  • Thursday 29 October, 2015

New Zealand's regulator keeps removing financial firms

New Zealand’s Financial Service Providers Register (FSPR) has recently published on its website a new deregistration notice, which features all the names of businesses and individuals which were removed from the register in December 2015 and January 2016. As revealed by the announcement a total of 226 firms and individuals got removed from the register in ...

Spanish watchdog warns against binary broker Empire Options
  • Thursday 29 October, 2015

Spanish watchdog warns against binary broker Empire Options

The Spanish financial markets regulator, the Comisión Nacional del Mercado de Valores (CNMV), which is mandated to supervise and inspect the Spanish Stock Markets and the activities of all participants in these markets with the purpose of ensuring both the transparency of the local industry and the protection of investors, has been particularly active and ...

Canada’s Securities Regulators proud of their 2015 achievements
  • Thursday 29 October, 2015

Canada’s Securities Regulators proud of their 2015 achievements

The Canada Securities Regulatos, CSA, is the council which consists of the 10 provincial and three territorial securities regulators in Canada. The chief aims of the council is ensure the provision of protection to investors from unfair, improper or fraudulent practices, as well as the promotion of fair, efficient and transparent capital markets, through the ...

CommexFX fined by CySEC – Cyprus Watchdog
  • Thursday 29 October, 2015

CommexFX fined by CySEC – Cyprus Watchdog

The Cypriot regulator, the Cyprus Securities and Exchange Commission has over the past few months issued a series of heavy fines against many investment firms and brokers, both fx and binary options, in its jurisdiction, as part of its renewed campaign to better enforce its regulatory role and better protect customers and the market operation, while at the same ...

Four binary brokers warned against by British Columbia watchdog
  • Thursday 29 October, 2015

Four binary brokers warned against by British Columbia watchdog

Under the British Columbia Securities Act, brokerage firms need to register with the British Columbia Securities Commission (BCSC) as dealers or advisers in order to open trading accounts for British Columbia residents. As part of its proactive approach to help protect BC investors, the BSSC publishes an Investment Caution List with the aim of providing ...

CIF behind Sky FX and Capital Options has license suspended by CySEC
  • Thursday 29 October, 2015

CIF behind Sky FX and Capital Options has license suspended by CySEC

The Cyprus watchdog, the Cyprus Securities and Exchange Commission (CySEC) has announced today that it has decided on 12 February 2016 to suspend the authorisation of the Cyprus Investment Firm ‘Trademarker (Cyprus) Ltd’, with number 151/11. According to the regulator the decision for the suspension was reached at pursuant to section 26(2) of the Cyprus ...

Fake Hong Kong regulator warned against by the SFC
  • Thursday 29 October, 2015

Fake Hong Kong regulator warned against by the SFC

As if fraudsters and scammers were not in abundance within the ranks of brokers and other related service providers in the financial markets, another challenging form of scam that could potentially victimize investors is the existence of impostor regulators. One recent such case has come to light following the issuing of a warning by the independent regulatory ...

New Warning by Spanish Watchdog Against Two Unauthorized Firms
  • Thursday 29 October, 2015

New Warning by Spanish Watchdog Against Two Unauthorized Firms

The Spanish Comisión Nacional del Mercado de Valores (CNMV), which is the regulator and watchdog of the financial markets in the jurisdiction of Spain, has recently issued two separate announcements through which it warns the public against trading with forex and commodities broker Green Investment House Corp, operating under the trading name FXMARKER, and ...

ASIC confirms the voluntary suspension of the FXTG licence
  • Thursday 29 October, 2015

ASIC confirms the voluntary suspension of the FXTG licence

The Australian Securities and Investments Commission (ASIC), the financial services industry watchdog in the jurisdiction of Australia, has just publicly announced that Forex TG Pty Ltd, the parent company of forex broker FXTG, has voluntarily requested that ASIC temporarily suspend its Australian Financial Services (AFS) licence. According to the ...

Japanese regulator warns against binary brokers once again
  • Thursday 29 October, 2015

Japanese regulator warns against binary brokers once again

As we have already pointed out, Japan’s Financial Services Agency (FSA) has started the year in a very dynamic manner in its ongoing efforts to track and warn against all unauthorized investment services providers targeting Japanese investors, by keeping a very vigilant eye over those attempting to operate in its jurisdiction without its own license and ...

UK’s FCA uncovers problems in CFD client onboarding
  • Thursday 29 October, 2015

UK’s FCA uncovers problems in CFD client onboarding

After a conducting a review in a sampled of ten firms that offer CFD products to clients on a non-advised basis in the UK, which covered both smaller and larger firms in the sector, with the purpose of assessing whether the followed client take-on procedures were in accordance with the relevant regulatory rules and regulations, the UK’s watchdog, the ...

Five binary options brokers warned against by Japanese watchdog
  • Thursday 29 October, 2015

Five binary options brokers warned against by Japanese watchdog

Japan’s Financial Services Agency (FSA) appears to be more determined than ever this year to crack down on the unauthorized investment firms that appear to be targeting Japanese investors and within this framework it proceeds in updating its list of unregistered entities almost on a weekly basis. Following a series of similar warnings already issued in ...

CySEC temporarily suspends licensing fast-track scheme
  • Thursday 29 October, 2015

CySEC temporarily suspends licensing fast-track scheme

Despite admittedly toughening up its stance towards its regulated entities and becoming more proactive and strict as to their compliance with their obligations as well as steepening the fines and sanctions it imposes for violations, the appeal of CySEC licensing for firms engaging in the provision of financial and investment services appears not only to be ...

Swiss watchdog warns against binary options broker Bloombex
  • Thursday 29 October, 2015

Swiss watchdog warns against binary options broker Bloombex

Bloombex, which operates through the websites www.bloombexonline.com and www.bloombex-options.com, is a broker offering binary options trading services that has been warned against by several industry regulators across the globe on account of it being an unregulated entity. Such regulators who have already warned against this firm are Cyprus’ CySEC and ...

Belize watchdog issues Cease & Desist orders against two Forex companies
  • Thursday 29 October, 2015

Belize watchdog issues Cease & Desist orders against two Forex companies

Belize is one of the offshore jurisdictions offering regulation in the fields of forex, binary options and other investment types , that are gaining popularity and appeal amongst firms wishing to get their offering of such services regulated, due to the fact that processes in such jurisdictions are simpler, faster and cost less than those under other regulatory ...

CySEC licensed Blackwell Global gets FCA regulated too
  • Thursday 29 October, 2015

CySEC licensed Blackwell Global gets FCA regulated too

The UK online trading market is getting even more crowded. International broker Blackwell Global has just received FCA licensing for its UK subsidiary, Blackwell Global Investments (UK) Limited, effective from 1st February 2016.   Blackwell is already the holder of a valid CIF license by CySEC since 2011, and it has been present the in UK since 2012 by using ...

Clever tactics by Banc de Binary?
  • Thursday 29 October, 2015

Clever tactics by Banc de Binary?

When commenting at the beginning of the week on the CySEC announcement about reaching a settlement with Banc de Binary, we ventured an explanation of the CIF’s decision to pay a bigger amount and settle than get fined and be at the receiving end of the associated bad publicity, arguing that this decision fits into its rhetoric and promotion tactics. Further ...

Increased exposure of the French public to investment scams
  • Thursday 29 October, 2015

Increased exposure of the French public to investment scams

The Autorité des Marchés Financiers (AMF), it its capacity as the regulator of the French financial markets and the authority tasked with the supervision of the orderly operation of such markets is always a vocal and proactive advocate of consumer rights and their protection. Within the framework of its mandate and spurred by fact that is has observed a steep ...

Québec's AMF sounds alarm bell on binary options
  • Thursday 29 October, 2015

Québec's AMF sounds alarm bell on binary options

Through an announcement issued on 27 January, Montréal-based Autorité des marchés financiers (the “AMF”), which is the regulatory and oversight body for the financial sector in the Canadian province of Québec is calling the trading in binary options via websites to be “promises of easy money” and is thus sounding the alarm and urging Québec ...

CySEC Vs Banc de Binary case
  • Thursday 29 October, 2015

CySEC Vs Banc de Binary case

Similarly to what happened recently with another high profile firm, IronFX, today CySEC announced, besides the imposition of a fine to CIF Rodeler Ltd, that it had reached a settlement agreement with the Cyprus Investment Firm Banc De Binary Ltd, for the amount of €350.000. This amount, which according to the announcement has already been paid by Banc de ...

Is CySEC Your Strongest Shield Against Scammers?
  • Thursday 29 October, 2015

Is CySEC Your Strongest Shield Against Scammers?

The fact that CySEC is becoming much stricter with the brokers it supervises has been featured on posts at binaryoptionswire.com on many occasions over the past months. Following the issuance of several circulars demanding that brokers in its jurisdiction comply with a multitude of stipulations regarding transparency, clients’ complaints, good practices and ...

What’s in a name? CySEC toughens up on name changing as well
  • Thursday 29 October, 2015

What’s in a name? CySEC toughens up on name changing as well

The field of online retail trading, be it in forex, cfds, binary options and other investment types is plagued by the existence of many scam firms that purport to be offering such financial services but in reality are little more than scam and thieves. This is particularly true in the case of binary options, since regulation in this industry segment is not as ...

Brokers scam alert: Japanese regulator issues new warning
  • Thursday 29 October, 2015

Brokers scam alert: Japanese regulator issues new warning

The constant growth of the online retail forex and binary options trading industries brings with it a corresponding growth in the numbers of unregulated brokers which spring up like mushrooms. It should be noted here that even if a broker is regulated in one jurisdiction, this does not mean that they are allowed to solicit traders from all countries, since each ...

Broker scam watch: Canadian watchdogs warns again
  • Thursday 29 October, 2015

Broker scam watch: Canadian watchdogs warns again

Unlike in other countries, in Canada the regulation and licensing of financial services companies is not managed at a national level, but is left to authorities at the level of each province. In essence, this means that in order to be allowed to target the residents of a specific Canadian province each financial services entity needs to register and obtain the ...

First CIF to obtain a license in 2016 by CySEC
  • Thursday 29 October, 2015

First CIF to obtain a license in 2016 by CySEC

Cyprus is a true hub when it comes to offering online retail financial services and brokerages are lining up by the dozens to obtain a license from the local regulator, CySEC, in order to be able to passport their services in the entire EU region. Currently, the number of Cyprus Investment Firms (CIFs) that hold a valid license from CySEC to offer financial ...

Binary Options Scam Alert: CNMV warns against Citrades
  • Thursday 29 October, 2015

Binary Options Scam Alert: CNMV warns against Citrades

The local watchdog for the securities and financial markets in Spain, namely the Comision Nacional del Mercado de Valores (CNMV), has continued the battle that most regulators, especially in European and Western jurisdictions, are staging in order to combat the phenomenon of unlicensed entities targeting clients in their regions, by publishing a warning against ...

CySEC licensed brokers - The Shocking Truth
  • Thursday 29 October, 2015

CySEC licensed brokers - The Shocking Truth

Many CySEC regulated companies, especially in the field of binary options, are regularly reported to be targeting clients abroad and managing to win their custom by highlighting the fact that they are CySEC regulated. However, the CySEC regulation only means that the passporting of such services is allowed in other EU jurisdictions alone and not on a global ...

Forex Scam Watch - OSC Warning against Prosper Trade FX
  • Thursday 29 October, 2015

Forex Scam Watch - OSC Warning against Prosper Trade FX

The Ontario Securities Commission (OSC) is one of the financial market regulators in Canada, where the markets are regulated at the provincial and not the national level, which takes the issue of protecting investors and safeguarding their rights very seriously. Within this framework it maintains and regularly updates a Warning List, which contains individuals ...

Turkish Regulator stuns brokers by imposing surprise reductions in leverage
  • Thursday 29 October, 2015

Turkish Regulator stuns brokers by imposing surprise reductions in leverage

Brokers operating in Turkey were caught off guard when today the country’s prominent regulator, the Capital Markets Board (CMB), proceeded in the sudden implementation of reductions in the leverage for all small investment account holders. More specifically, the new playing field set by the CMB provides that small-cap accounts, i.e. those smaller than 20,000 ...

Binary options broker GBinarys warned against by Japan’s FSA
  • Thursday 29 October, 2015

Binary options broker GBinarys warned against by Japan’s FSA

Japan’s Financial Services Agency the (FSA), which is the financial watchdog for Japan continues its strict vigilance over the markets and its efforts to protect Japanese investors. Since according to Japanese laws, all entities offering investment services and targeting Japanese investors need to be properly registered with and authorized by Japanese ...

Brokers to face a hard time in New Zealand
  • Thursday 29 October, 2015

Brokers to face a hard time in New Zealand

Many brokers seek to get registered on the New Zealand Financial Services Provider Register (FSPR), due to the good reputation of New Zealand as a jurisdiction and also because it has a great proximity to the Asia Pacific which is a very promising and lucrative marker that brokers wish to target. Worried that the licensing in their country is being misused by ...

FCA records sharp rise in unauthorised trading and brokerage firms
  • Thursday 29 October, 2015

FCA records sharp rise in unauthorised trading and brokerage firms

Britain’s FCA is one of the most prominent, active and strict financial markets regulators, which is particularly vocal when it comes to hunting down scammers and protecting the investing public. It is not surprising therefore that it has felt the need to alert the public once again on the issue of Unauthorised Forex (FX) trading and brokerage firms, since at ...

Turkish regulator blocks access to the website of MXTrade
  • Thursday 29 October, 2015

Turkish regulator blocks access to the website of MXTrade

Forex broker MXTrade has encountered trouble from regulators in various jurisdictions, since it was the subject of warnings issued against it both in Italy, by the Commissione Nazionale per le Società e la Borsa (CONSOB) for attempting to solicit Italian clients without the proper authorization, and in Cyprus by the Cyprus Securities and Exchange Commission ...

ESMA approves extension of ban on Greek HCMC short selling
  • Thursday 29 October, 2015

ESMA approves extension of ban on Greek HCMC short selling

One of the biggest stories rocking the financial markets in 2015 was the culmination of the Greek financial crisis, which brought the country on its knees and on the verge of a Grexit from the Eurozone which would have pushed the monetary union into perilous and unchartered waters. And although things may appear to have quiet down after Greece stroke a deal ...

Ontario watchdog add two firms on warning list
  • Thursday 29 October, 2015

Ontario watchdog add two firms on warning list

Canada is a jurisdiction that attracts the attention of many online forex and binary options brokers wishing to attract the custom of Canadian citizens. What may seen as making their job easier is the complex structure of the Canadian regulatory system itself, since in Canada each province has a separate financial regulator, making it harder for Canadian ...

Is CySEC about to shake the binary options landscape?
  • Thursday 29 October, 2015

Is CySEC about to shake the binary options landscape?

Often criticized as being not more than pure gambling and speculation the field of the online retail trading of binary options has been booming over recent years and it has greatly evolved and increased especially since 2008,the year when one jurisdiction and its regulator, namely the Cyprus Securities and Exchange Commission (CySEC) took the decisive move to ...

IronFX forced by ASIC to correct its disclosure
  • Thursday 29 October, 2015

IronFX forced by ASIC to correct its disclosure

When reporting on the recent settlement reached between IronFX and the Cypriot regulator CySEC, we had mentioned the certainty that the IronFX saga would undoubtly soon produce more episodes. This prediction was confirmed through an announcement that was recently made by ASIC, the Australian watchdog. In its announcement the Australian Securities and ...

France’s AMF warns and blacklists once again
  • Thursday 29 October, 2015

France’s AMF warns and blacklists once again

The French financial markets regulator continues on its hunt of unregulated brokers and its proactive effort to protect investors and traders. This time round, the effort is manifested through two public announcements/warnings to the public. The first was issued by the AMF and two other competent French authorities, namely the Autorité de contrôle prudentiel ...

CySEC Complaints Handling Procedure
  • Thursday 29 October, 2015

CySEC Complaints Handling Procedure

In the aftermath of its recent decisions to fine several financial services firms under its jurisdiction, the Cyprus Securities and Exchange Commission (CySEC), which is the regulator of financial markets in Cyprus, a popular hub for forex and binary options brokers, appears to be determined to monitor the conduct of CIFs more closely and decisively. With this ...

Warning by CySEC about Airsoft and relevant clarifications
  • Thursday 29 October, 2015

Warning by CySEC about Airsoft and relevant clarifications

Through a warning issued to the investing public on 10 December 2015, the Cyprus Securities and Exchange Commission informed investors with regards to the company Airsoft, which operates via www.airsoftltd.com and which according to the information presented on its website is a software provider and it is regulated by CySEC. Pointing out that CySEC does not ...

Cyprus-based Falcon Brokers has license suspension extended by regulator
  • Thursday 29 October, 2015

Cyprus-based Falcon Brokers has license suspension extended by regulator

In late September 2015 the Cyprus Securities and Exchange Commission (CySEC) had announced for the first time the suspension of the Cyprus Investment Firm (CIF) license of Forex brokerage Falcon Brokers Ltd. This company, offering its services to investors via the domain http://new.falconbrokers.com, has had its license suspended for violations of the ...

What’s the essence of the Iron FX settlement with CySEC?
  • Thursday 29 October, 2015

What’s the essence of the Iron FX settlement with CySEC?

Following its recent decision to impose several fines on investment firms in its jurisdiction CySEC was praised by many who saw this move as a tangible toughening of the regulator’s stance. Indeed, according to the Chairwoman of CySEC herself: “The ultimate goal of onsite checks conducted by the Cyprus Securities and Exchange Commission (CySEC) is to ensure ...

CySEC slaps fines on firms and plans further compliance audits
  • Thursday 29 October, 2015

CySEC slaps fines on firms and plans further compliance audits

Discussing how CySEC, the financial markets regulator in Cyprus, which is a very popular hub for forex and binary options online retail trading providers, has gradually stepped up its gear and became much stricter and demanding vis a vis its regulated brokers and CIFs (Cyprus Investment Firms), is a regular topic here on binaryoptionswire.com. Indeed CySEC ...

CySEC falls victim of impostors
  • Thursday 29 October, 2015

CySEC falls victim of impostors

On the day it decided to show its teeth and announce multiple heavy fines on several investment firms in its jurisdiction, the Cyprus Securities and Exchange Commission (‘CySEC’) also issued an announcement to warn the public regarding certain individuals impersonating CySEC officers. In the announcement CySEC says that it has come to its attention that ...

Binary Options broker Tooptions warned against by Hong Kong watchdog
  • Thursday 29 October, 2015

Binary Options broker Tooptions warned against by Hong Kong watchdog

The battle between financial markets regulators and unlicensed brokers across the globe continues unabated as the online retail binary options trading market expands and moves closer towards regulation. Watchdogs keep issuing warnings to help investors protect themselves by avoiding to deal with brokers who are not properly authorized and regulated. The most ...

CySEC publicizes an extensive list of unregulated brokers
  • Thursday 29 October, 2015

CySEC publicizes an extensive list of unregulated brokers

Amidst the recent clampdown of many regulators across the globe on the binary options industry and primarily on binary options brokers, the watchdog in one of the most popular hubs for licensing such brokers, namely the Cyprus Securities and Exchange Commission (CySEC) continues its attempts to clear its name and its jurisdiction of any wrong-doing and has thus ...

Two more brokers warned against by Canadian regulator
  • Thursday 29 October, 2015

Two more brokers warned against by Canadian regulator

In its capacity as the independent provincial government agency responsible for regulating capital markets in the Canadian province of British Columbia, the British Columbia Securities Commission (BCSC), maintains an Investor Caution List on which it registers those individuals and companies that appear to be engaging in activities that may pose a risk to ...

New warning against binary firm by Canada’s Ontario Securities Commission
  • Thursday 29 October, 2015

New warning against binary firm by Canada’s Ontario Securities Commission

Being one of Canada’s thirteen provincial regulators, the Ontario Securities Commission (OSC) is one of the most proactive financial industry watchdogs, which pays particular attention to its mandate of seeking to protect investors while at the same time promoting the operation of fair and efficient capital markets throughout its province. Within this ...

FCA warns against Binary Options Broker CTOption
  • Thursday 29 October, 2015

FCA warns against Binary Options Broker CTOption

Through a warning to the public issued on 1st November 2016, the UK’s financial regulatory body, the Financial Conduct Authority (FCA), informs all investors of its belief that a UK-based company trading under the name CTOption has been providing financial services or products without regulatory permission, especially since firms and individuals offering, ...

More CIFs on the way out as CySEC slams more suspensions?
  • Thursday 29 October, 2015

More CIFs on the way out as CySEC slams more suspensions?

Many of the critics of CySEC had maintained on many occasions that the regulator had been too relaxed and lenient in its approach to the investment services firms in its jurisdiction, leading to a somewhat uncontrollable and unjustified boom in their numbers. The same critics and many other industry stakeholders have thus welcomed the fact that in the past few ...

Capital Option and Sky FX parent has its license stripped by CySEC
  • Thursday 29 October, 2015

Capital Option and Sky FX parent has its license stripped by CySEC

Some market participants as well as other stakeholders, such as certain regulators for example France’s AMF have often voiced their criticism again the level and adequacy of the supervision exerted by the Cyprus Securities and Exchange Commission over the entities it regulates, not least because those obtaining a license from the Cypriot pertinent body can ...

Japanese financial watchdog adds Brilliant One Forex to warning list
  • Thursday 29 October, 2015

Japanese financial watchdog adds Brilliant One Forex to warning list

Japan is a big market for the online retail trading industry, but it is also strictly regulated. In fact, Japan’s Financial Services Agency (FSA), which is the industry watchdog, has been highly active and vocal in recent months in its attempt to protect Japanese residents from unregistered investment companies that target them. Under the provisions of the ...

FXProtrade warned against by Hong Kong’s SFC
  • Thursday 29 October, 2015

FXProtrade warned against by Hong Kong’s SFC

Hong Kong’s Securities and Futures Commission (SFC) as part of its effort to effectively regulate the financial services sector in its jurisdiction and protect the local investing public, has compiled and regularly updates an Alert List, which is a list of entities that have come to the attention of the SFC because they are unlicensed in Hong Kong and are ...