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Compliance
Europe's Economic Crossroads: Recession Fears and S&P Global's
Education Center
Will Blockchain Technology Mark a Turning Point in Fraud
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7 Things We Wish Someone Had Told Us Before We Started Trading
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Kinesis Mint Becomes the Official Partner for the House of
Thought Leadership
Europe's Economic Crossroads: Recession Fears and S&P Global's
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Will Blockchain Technology Mark a Turning Point in Fraud
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7 Things We Wish Someone Had Told Us Before We Started Trading
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Kinesis Mint Becomes the Official Partner for the House of
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compliance
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Retail FX
WhatsApp Compliance: Self-Reporting Drives Regulatory Change Initiation
The SEC is pushing for cultural change in compliance, focusing on self-reporting.
Firms like Perella Weinberg and Huntington benefited from self-reporting, receiving lower penalties.
Monday, 15/04/2024 | 13:10 GMT
by
Harriet Christie
Institutional FX
EU Embraces Derivatives Reporting: Firms Prepare for April 2024 Deadline
The Derivatives Service Bureau data shows firms' readiness for the new UPI reporting.
European Union will become the second G20 jurisdiction to adopt this standard.
Tuesday, 09/04/2024 | 07:00 GMT
by
Damian Chmiel
Retail FX
Notesco Agrees to €100,000 Settlement with CySEC over Compliance Issue
Following an inspection conducted in 2023, CySEC decided to settle on January 29, 2024.
The regulator stressed settlements require suspicion of violation, with no judicial review indication.
Tuesday, 02/04/2024 | 11:27 GMT
by
Tareq Sikder
Retail FX
Brokeree and MAP FinTech Forge Alliance for Broker Regulatory Compliance
Multi-asset brokers will gain an edge with MAP FinTech's compliance and Brokeree tech.
Brokeree's Liquidity Bridge manages liquidity across various trading platforms.
Friday, 08/03/2024 | 15:04 GMT
by
Tareq Sikder
FinTech
The Intersection of Regulatory Compliance Costs and Innovation in the Payments Industry
The conundrum of compliance and innovation.
Monday, 19/02/2024 | 16:00 GMT
by
Pedro Ferreira
Retail FX
CySEC Fines Fintailor Investments €200,000 in AML Compliance Probe
The regulator highlighted potential breaches in anti-money laundering laws.
The investigation covered the period between 2016 and 2019.
Thursday, 08/02/2024 | 14:41 GMT
by
Jared Kirui
FinTech
Client-Centric Compliance: A Strategic Imperative for Modern Banking
Unleashing competitive advantage in banking.
Monday, 15/01/2024 | 17:02 GMT
by
Pedro Ferreira
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Institutional FX
FINRA's 2024 Oversight Report Prioritizes Cybersecurity, Crypto, and Communications
This report focuses on market regulations and enforcement programs.
It includes a comprehensive cybersecurity checklist, urging firms to manage technology.
Tuesday, 09/01/2024 | 21:13 GMT
by
Jared Kirui
Technology
Transformative, Predictive, Automated - 2024's RegTech AI Revolution
RegTech incorporates Cloud-Based Software, predictive analytics and machine learning.
AI has been proven to enhance regulatory and operational processes.
The technology allows businesses to offer innovative products and adhere to regulations.
Friday, 29/12/2023 | 10:04 GMT
by
Nicky Senyard
Retail FX
Interoperability - The Road to Financial Convergence
Interoperability is becoming ever more vital in a more connected world.
The concept refers to the successful coming together of a wide range of different systems.
Both blockchain and non-blockchain systems will have an important role to play.
Monday, 20/11/2023 | 11:36 GMT
by
Ashley Pope
Thought Leaders
Tips from the UTIP Team: How to Comply with a Payment System with Ease
How compliance might just be the key to success in the forex industry.
Monday, 02/10/2023 | 10:37 GMT
by
FM
Retail FX
Freedom Finance Pays €50K to CySEC over ‘Potential’ AML Non-Compliance
The firm operates the brands Freedom Finance, Freedom Broker and Freedom 24.
CySEC announced €100K settlement with BCS Cyprus on Wednesday.
Thursday, 13/07/2023 | 13:36 GMT
by
Solomon Oladipupo
Regulation
The Role of Robotic Process Automation (RPA) in Streamlining Regulatory Compliance
Compliance reimagined.
Monday, 10/07/2023 | 16:07 GMT
by
FM Contributors
Regulation
How is Technology Revolutionizing Regulatory Compliance?
Compliance reimagined
Wednesday, 05/07/2023 | 15:40 GMT
by
Jeff Patterson
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Education Center
Regulatory Compliance in the Financial Industry: Why It Matters in 2023
Get to know what's needed to operate with confidence.
Thursday, 23/02/2023 | 16:22 GMT
by
Finance Magnates Staff
CryptoCurrency
Binance Talks about Compliance Gaps and Expects to Pay Penalties
The company's CSO confirmed that in the past, Binance had small "gaps" in its regulatory compliance.
Crypto exchange expects to pay penalties to resolve the US investigations.
Thursday, 16/02/2023 | 12:40 GMT
by
Damian Chmiel
FinTech
8 AML Guidelines Every Compliance Team Should Be Using
There are some AML rules which should be universal to nearly every compliance team.
Monday, 23/01/2023 | 09:28 GMT
by
Pedro Ferreira
FinTech
AML Requirements and Best Compliance Practices for Payment Processors
Keep an eye out for AML compliance. It can save your business.
Friday, 30/12/2022 | 09:35 GMT
by
Finance Magnates Staff
Thought Leaders
ZuluTrade Growth Plan Does Not Include Unlicensed Brokers
ZuluTrade will focus on dealing with only licensed brokers as part of a new transition.
Friday, 04/11/2022 | 09:22 GMT
by
FM
Thought Leaders
Eliminating Inefficiencies in the Compliance World—the idclear Vision
AML compliance means large teams, high costs, and masses of personal data to manage.
Monday, 24/10/2022 | 14:25 GMT
by
James Clifford
Institutional FX
US Data Analytics Firm BXS Launches New Trade Surveillance Platform
The platform helps to streamline alerts, investigations and case management.
FINRA fined E*TRADE $350k in January for surveillance failures.
Monday, 11/07/2022 | 14:45 GMT
by
Solomon Oladipupo
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CryptoCurrency
Coinbase Intelligence to Safeguard Crypto against ‘Bad Actors’
Coinbase wants to help crypto institutions address their compliance needs.
The exchange has renamed Coinbase Analytics to Coinbase Tracer.
Thursday, 28/04/2022 | 21:25 GMT
by
Solomon Oladipupo
Retail FX
NFA Fines Interactive Brokers $250k for Retail FX, Supervisory Failures
Interactive failed to heed a warning issued in May 2021, NFA says.
The broker also ignored a directive from the NFA for three months after the deadline.
Saturday, 16/04/2022 | 09:56 GMT
by
Solomon Oladipupo
CryptoCurrency
Chagri Poyraz Now Leading Binance’s Global Compliance Efforts
Poyraz, ex-Coupang AML head, brings 17 years of experience to the new role.
He developed Coupang’s risk control framework for listing on NYSE.
Friday, 15/04/2022 | 05:40 GMT
by
Solomon Oladipupo
Op-ed
FinTech
Op-ed
How to Create a Neobank or Digital Bank
Without physical branches, neobanks are a smart alternative for financial institutions
However, you must address business, technology and compliance challenges.
Monday, 11/04/2022 | 09:34 GMT
by
Serge Beck
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