Regulator news for traders
Warnings about unlicensed and clone firms, enforcement actions and fines, and rule changes — collected from the official websites of UAE and major global regulators. Each item links to the regulator’s original notice.
449 notices · Latest notice: 6 Nov 2026
- DFSA Authorised Firm impersonated – GWP Management Limited
- SEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCI
The Securities and Exchange Commission today censured New York-based broker dealer OTC Link LLC and ordered it to pay a $575,000 civil penalty for longstanding violations of Regulation Systems Compliance and…
- DFSA Impersonated in an Advance Fee Scam
- Eurotrade Investments RGB Ltd — Withdrawal of CIF licence
The Investment Services and Activities and Regulated Markets Law
- SEC Proposes Rescission of Shareholder Proposal Rule and Reforms to Proxy Solicitation Process
The Securities and Exchange Commission today proposed to rescind Rule 14a-8 under the Securities Exchange Act of 1934, which exceeds the scope of the Commission's statutory authority and intrudes into matters of…
- CFTC Secures Court Order Directing Florida Man to Pay Over $6 Million for Options Fraud and Imposing Trading Bans
- Qanat Al Amel Call Centers Services L.L.C
Address: Dubai. The CMA advises investors to refrain from dealing with Qanat Al Amel Call Centers Services L.L.C, as it is not licensed or authorized to conduct regulated financial activities or provide related…
- SEC Grants Exemptive Relief from Certain Inline XBRL Filing or Submission Requirements
The Securities and Exchange Commission issued an order granting exemptive relief from certain Inline XBRL requirements adopted on Dec. 16, 2024. More specifically, the Commission is granting exemptive relief from…
- CFTC Grants Multiple Whistleblower Awards Totaling Over $150 Million
- CFTC Secures Court Orders Directing Texas and Florida Residents to Pay Over $500,000 in Disgorgement and Civil Monetary Penalties and Imposing Trading Bans for Commodity Pool Fraud
- Global standard-setting bodies publish a toolkit for cyber resilience at Financial Market Infrastructures (FMIs) and a discussion paper on FMIs' reliance on third-party service providers
- DFSA Impersonated in Blockchain Settlement Scam
- Warning regarding unregulated entities
- CFTC Resolves Action Against Swaps Trader for Making False Statements
- Pouyan Roohi
The CMA advises investors against dealing with Pouyan Roohi, as he is not licensed or authorized to conduct regulated financial activities or provide related services. The CMA accepts no liability for any…
- CFTC Orders Gabriel Perez to Pay $172,000 for Insider Trading of Mention Market Event Contracts
- R.I.A.L Raising Investment Advisory Ltd — Withdrawal of CIF authorisation
The Investment Services and Activities and Regulated Markets Law
- Eurotrade Investment RGB Ltd — Fine €100
The Cyprus Securities and Exchange Commission Law
- I.W.G International Wealth Group Ltd — Fine €100
The Cyprus Securities and Exchange Commission Law
- Eurotrade Investment RGB Ltd — Fine €100
The Cyprus Securities and Exchange Commission Law
- Robomarkets Ltd — Settlement €100.000
Τhe Investment Services and Activities and Regulated Markets Law, Regulation (EU) No 600/2014
- CFTC Resolves Actions Against Former Alameda CEO, and Alameda and FTX Co-Founder
- Zetta Capital Ltd
Address: (www.zettacapitals.com). The CMA advises investors to refrain from dealing with Zetta Capital Ltd., as it is not licensed or authorized to conduct regulated financial activities or provide related services.…
- Warning regarding unregulated entities
- FINYX (CYPRUS) INVESTMENTS LTD — Withdrawal of AIFM authorization
The Alternative Investment Fund Managers Law
- Trade EU Global
Address: website: (https://www.tradeeu-global.com). The CMA advises investors to refrain from dealing with TradeEU Global, as it is not licensed or authorized to conduct regulated financial activities or provide…
- ADGM Issues Alert Concerning Misleading Claims by Vibrafund FZLLC
- CPI Holdings Public Limited — Total fine €1.500
The Transparency Requirements (Securities Admitted to Trading on a Regulated Market) Law
- Karyes Investment Public Company Ltd — Total fine €16.500
The Transparency Requirements (Securities Admitted to Trading on a Regulated Market) Law
- Agroton Public Ltd — Total fine €8.500
The Transparency Requirements (Securities Admitted to Trading on a Regulated Market) Law
- Cyprus Trading Corporation PLC — Total fine €9.500
The Transparency Requirements (Securities Admitted to Trading on a Regulated Market) Law
- Ermes Department Stores PLC — Total fine €7.000
The Transparency Requirements (Securities Admitted to Trading on a Regulated Market) Law
- 07.08.2026 Dome Investments Public Company Limited — Total fine €16.500
The Transparency Requirements (Securities Admitted to Trading on a Regulated Market) Law
- Woolworth (Cyprus) Properties PLC — Total fine €6.500
The Transparency Requirements (Securities Admitted to Trading on a Regulated Market) Law
- Toxotis Investments Public Limited — Total fine €17.000
The Transparency Requirements (Securities Admitted to Trading on a Regulated Market) Law
- A. Tsokkos Hotels Public Limited — Total fine €16.500
The Transparency Requirements (Securities Admitted to Trading on a Regulated Market) Law
- MLK Foods Public Company Ltd — Total fine €8.500
The Transparency Requirements (Securities Admitted to Trading on a Regulated Market) Law
- KDM Shipping Public Limited — Total fine €17.000
The Transparency Requirements (Securities Admitted to Trading on a Regulated Market) Law
- Unifast Finance & Investments Public Company Limited — Total fine €1.500
The Transparency Requirements (Securities Admitted to Trading on a Regulated Market) Law
- MAS CAP FOR INVESTMENT IN COMMERCIAL ENTERPRISES & MANAGEMENT L.L.C.
Address: Dubai. The CMA advises investors to refrain from dealing with this entity, as it is not licensed or authorized to conduct regulated financial activities or provide related services. The CMA accepts no…
- VARA Notice of Fines – Shelbit General Trading L.L.C
The Virtual Assets Regulatory Authority (“VARA”) is issuing this Notice of Fines in respect of enforcement action taken against Shelbit General Trading L.L.C, commercially operating as Shelbit or Shelbit Exchange…
- NFA orders New York-based firm Hardee Brothers LLC and its principal to withdraw from and not reapply for NFA membership
July 22, Chicago—NFA has ordered Hardee Brothers LLC, an NFA Member commodity pool operator and commodity trading advisor in New York, N.Y., to withdraw from and not reapply for NFA membership or principal status…
- DeVere Acuma Insurance Brokers L.L.C
Address: Dubai. The CMA advises investors to refrain from dealing with this entity, as it is not licensed or authorized to conduct regulated financial activities or provide related services. The CMA accepts no…
- ADGM issues alert concerning fraudulent scheme and misleading claims
Veyron Markets Ltd
- VIE FINANCE SEY LTD Website: https://ar.200invest.com/
Address: Dubai. The CMA advises investors to refrain from dealing with this entity, as it is not licensed or authorized to conduct regulated financial activities or provide related services. The CMA accepts no…
- VARA Notice of Fines – Peken Global Limited (“Kucoin”)
The Virtual Assets Regulatory Authority (“VARA”) is issuing this Notice of Fines in relation to VARA’s earlier Investor and Marketplace Alert of 5 March 2026, concerning Peken Global Limited, commercially operating…
- VARA Notice of Fines – MX Global LTD (“MEXC”)
The Virtual Assets Regulatory Authority (“VARA”) is issuing this Notice of Fines in relation to enforcement actions taken against MX Global LTD, commercially operating as MEXC (the “Entity”). It follows VARA’s…
- VARA Notice of Fines – CoinMENA FZE
The Virtual Assets Regulatory Authority (“VARA”) is issuing this Notice of Fines regarding ongoing supervisory controls, and enforcement actions taken against CoinMENA FZE (Ref: VL/23/09/001) (“CoinMENA”).
- Warning regarding unregulated entities
- CAPITAL NEXUS MANAGEMENT L.L.C-FZ / CAPITAL LEGACY FZ / Website: https://dubai.platforms.app/?lang=ar
Address: Dubai. The CMA advises investors to refrain from dealing with these entities, as they are not licensed or authorized to conduct regulated financial activities or provide related services. The CMA accepts no…
About these notices
Every item comes from the regulator’s own website or feed and is checked several times a day. Titles are shown as the regulator published them; Invvex does not add findings. A notice is not a full list — always check the regulator’s public register before dealing with a firm.
- Capital Market Authority (UAE, formerly SCA)
- Dubai Financial Services Authority (DIFC)
- Financial Services Regulatory Authority (ADGM)
- Virtual Assets Regulatory Authority (Dubai)
- Financial Conduct Authority (UK)
- Cyprus Securities and Exchange Commission
- Australian Securities and Investments Commission
- U.S. Securities and Exchange Commission
- U.S. Commodity Futures Trading Commission
- National Futures Association (U.S.)
- European Securities and Markets Authority
- International Organization of Securities Commissions