Category: Regulations
regulations
December 27, 2021 Washington, D.C. — The Commodity Futures Trading Commission today issued an order filing and simultaneously settling charges against Dubai residents Kunal Bansal and Vinit Agarwal and their Hong Kong and Dubai based firms Aralia Securities, Ltd. (Aralia) and Vintage Bullion DMCC (Vintage), respectively, for engaging in wash sales and non-competitive transactions. The order […]
Washington, D.C. — The Commodity Futures Trading Commission announced today that Chief Judge Stanley A. Bastian of the U.S. District Court for the Eastern District of Washington issued an order granting a permanent injunction against Easterday Ranches, Inc., and requiring it to pay a combined $263 million in restitution and civil monetary penalty in connection […]
Washington, D.C. — The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against JPMorgan Chase Bank, N.A., J.P. Morgan Securities LLC, and J.P. Morgan Securities plc (collectively, JPMorgan), for failing to maintain, preserve, and produce records that were required to be kept under CFTC recordkeeping requirements, and failing to diligently supervise matters related […]
December 10, 2021 Washington, D.C. — The Commodity Futures Trading Commission announced today that it has filed a civil enforcement action in the U.S. District Court for the Southern District of Texas against Peter Miller, a resident of San Juan, Puerto Rico, and his firm Omerta Capital LLC. The complaint charges the defendants for receiving […]
December 08, 2021 Washington, D.C. — The Commodity Futures Trading Commission today announced the U.S. District Court for the Northern District of Illinois entered a consent order on December 7, resolving CFTC charges that Roman Banoczay Jr. (Banoczay Jr.) of Bratislava, Slovakia, as an agent of Roman Banoczay Sr. (Banoczay Sr.) and their company, BAZUR […]
The FSMA once again warns the public against fraudulent investment offers in wine, champagne and spirits (see our warnings from 4 July 2019 and 11 February 2020). The principle remains the same: victims are contacted by phone by a salesperson, who offers them investments in wine, champagne or spirits and invites them to consult an online […]
This news article is not available in English. Please consult the French or Dutch page. Source: FSMA
During the past three years, 830,000 Belgians traded on the stock market. That number is now on the rise: in the first three months of 2021, the number of unique investors had more than doubled relative to the first quarter of 2019. The number of new investors at the beginning of 2021 was 50% higher […]
The FSMA has published an opinion about minimum standards for SPACs. The position taken by the FSMA on this question was presented to the sector during a public consultation that ended on 31 May 2021. Read the opinion of the FSMA here Source: FSMA
ANNOUNCEMENT BY THE FINANCIAL SERVICES AND MARKETS AUTHORITY, PUBLISHED IN APPLICATION OF ARTICLE 78 OF THE LAW OF 21 NOVEMBER 2017 Trading in the financial instruments of Hamon, ISIN BE0974352842, on Euronext Brussels will re-open on 21/6/2021 at 09:00 CET. Source: FSMA