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SEC Fines CBOE $6 Million for Short Selling Failures
- The SEC, has fined CBOE for a $6 million fine after the exchange was found violating regulations relating to abusive short selling, the regulator also found various systemic breakdowns in the exchange's regulations.
Tuesday, 11/06/2013 | 19:08 GMT by
Adil Siddiqui
Britain's FCA Begins To Flex Its Muscles - Xcap Fined For CASS Ruling Transgression
- Britain's new regulatory authority, the FCA, has brought about its first case in relation to the security of client funds, having fined Xcap £120,900 for weak client asset procedures under new percentage-based tariff.
Tuesday, 11/06/2013 | 10:38 GMT by
Andrew Saks McLeod
The Aftermath of US Regulatory Warning Against Binary Options – Software Providers to Partner with NADEX
- The United States regulatory authorities' position is unquestionable when it comes to the legalities of off-exchange binary options being marketed within its jurisdiction - The message is clear: Caveat Emptor!
Monday, 10/06/2013 | 13:55 GMT by
Andrew Saks McLeod
ASIC Puts An End to the Aussie Rob Lifestyle. Murray Priestley Receives Three Year Ban
- Australian regulator ASIC has banned former CEO of Lifestyle Group from providing any form of financial services for three years after misleading statements relating to the functionality of forex software were made.
Monday, 10/06/2013 | 08:02 GMT by
Andrew Saks McLeod
US Binary Clampdown - SEC Follows CFTC In Issuance of Investor Warnings and Enters Charge Against Banc De Binary
- Further to yesterday's announcement by the CFTC that it intends to charge Banc de Binary for offering off-exchange binary options in the US, the SEC today cites the firm for the same transgression.
Friday, 07/06/2013 | 08:32 GMT by
Andrew Saks McLeod
Looking for a Job? The NFA is Hiring
- The NFA has announced that they approved their Fiscal Year 2014 budget. The budget, for the fiscal year which starts on July, 1 2013 is for $74 million, an 18% increase above last year, with the majority going towards new hiring
Thursday, 06/06/2013 | 20:16 GMT by
Ron Finberg
Tickmill Wins ‘Most Competitive Broker’ at the Global Forex Awards 2025
- Tickmill has a strong track record of industry recognition.
Tuesday, 16/09/2025 | 12:53 GMT by
FM
Banc De Binary Gets Charged by the CFTC - Investor Warning Also Issued Across The US
- Binary options firm Banc de Binary falls foul of US regulator CFTC for violating the off-exhange options trading ban and operating as an unlicenced FCM despite claiming to be based in New York's Wall Street.
Thursday, 06/06/2013 | 17:09 GMT by
Andrew Saks McLeod
New Zealand FMA Gains Regulatory Powers. AML Procedure Becomes Effective June 30
- New Zealand's regulatory authorities have confirmed that the FMA will require Anti-Money Laundering procedures to be adhered to, as well as surveillance and monitoring of compliance with such rulings from June 30.
Thursday, 06/06/2013 | 12:30 GMT by
Andrew Saks McLeod
The Falcon Is Still In Flight - Major US Bank Embroiled In Misappropriation of PFG Client Funds
- Almost a year has passed since the CFTC began investigating the activities of Peregrine Financial Group and its alleged misappropriation of client funds. Now US Bank under regulatory spotlight due to similar accusations.
Wednesday, 05/06/2013 | 16:51 GMT by
Andrew Saks McLeod
‘Pay Up - $1.5 Million’ CFTC Orders FCStone
- A leading US futures brokerage has received a penalty by the CFTC after failing to maintain systems and controls that could have prevented the firm in making a loss of $127 million during the global recession.
Thursday, 30/05/2013 | 07:12 GMT by
Adil Siddiqui
Liberty Reserve Website Officially Seized
- Liberty Reserve's website has been seized by US authorities. Viewers will now get a message that the site has been seized and there is no further DNS information provided. Account holders are left wondering the future of their funds
Tuesday, 28/05/2013 | 15:58 GMT by
Ron Finberg
Japanese FSA Releases Comprehensive Guidelines for Supervision of Financial Instruments , Introduces Capital Adequacy Monitoring
- Japan's FSA is the latest regulator to introduce a series of defined rulings as to how companies in the financial instruments and derivatives industry are monitored, including a very concise capital adequacy ratio directive.
Tuesday, 28/05/2013 | 09:48 GMT by
Andrew Saks McLeod
CFTC Reviews Obligations to Report Omnibus Account Information - White Label Partnerships Under Spotlight
- The Commodity Futures Trading Commission yesterday issued an advisory relating to the standard requirement by the US regulator to maintain correct reporting of omnibus accounts according to rule 17.04a.
Thursday, 23/05/2013 | 14:06 GMT by
Andrew Saks McLeod
Journey into the Unknown – Chinese Regulators Revising Laws to Assist Overseas FX Firms
- Chinese foreign exchange regulator SAFE has made steps toward reducing some of the entry barriers for foreign investment, leading to potentially lower entry barriers for overseas firms wishing to conduct business in the country. What risks lie ahead though?
Wednesday, 22/05/2013 | 12:14 GMT by
Andrew Saks McLeod
Trade Execution Rules Under Scrutiny - Integral Set to Launch SEF Compliant Solution Following CFTC Meeting
- Integral Development Corporation responds to CFTC's meeting regarding trade execution rules. Company set to launch SEFs in accordance with deadline set by regulators at yesterday's public meeting in Washington
Friday, 17/05/2013 | 07:33 GMT by
Andrew Saks McLeod
MB Trading Fined $200,000 For Failing to Maintain Minimal Capital Requirements
- United States financial regulator fines MB Trading a FX broker for failing to meet minimal capital requirements. The broker had miss-appropriated funds for 17 months after the new rules were mandated.
Tuesday, 14/05/2013 | 22:05 GMT by
Adil Siddiqui
Complete Developments, Incomplete Integrity. Forex Ponzi Scheme Operators Prosecuted
- Fraudsters Hit with $23 million Civil Restitution Penalty after CFTC uncovers forex Ponzi Scheme, further demonstrating the continued efforts by the US regulatory authorities to root out the bad apples.
Tuesday, 14/05/2013 | 06:40 GMT by
Andrew Saks McLeod
Regulators Intervene against Fraud and Money Laundering Risks in Use of Pre-Paid Credit Cards
- Britain's FCA and anti money laundering authorities take a close look at the use of pre-paid cards to fund forex trading accounts - and set in place penalties to put a stop to it.
Monday, 13/05/2013 | 15:11 GMT by
Andrew Saks McLeod
CFTC Charges Boston Fraudster for Running Un-regulated Forex Pool
Tuesday, 07/05/2013 | 04:27 GMT by
Adil Siddiqui
Turkish Regulator to Criminally Charge Teletrade Turkey
Tuesday, 30/04/2013 | 17:14 GMT by
Adil Siddiqui
UK Regulator FCA Charges Two for £5 million Forex Investment Fraud
Monday, 29/04/2013 | 17:15 GMT by
Adil Siddiqui
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