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Regulation

Banc De Binary to Pay $11m Settlement to US Regulators

  • Following a multi-year investigation Banc De Binary is to pay $11m to settle with CFTC/SEC over allegations of illegally soliciting US clients.
Thursday, 25/02/2016 | 18:44 GMT by Steven Hatzakis
Brokers

Binary Options Introducing Broker Vision Financial Charged with Fraud by CFTC

  • The founder of the company, Neil Pecker, has also been charged with fraud by the US regulator after soliciting clients to deposit $3 million.
Wednesday, 24/02/2016 | 19:46 GMT by Victor Golovtchenko
Executive Moves

Markit’s Brad Levy Lands Spot on CFTC's Technology Advisory Committee

  • Mr. Levy will help lend his industry perspective to the group, which helps advise the CFTC on the impact of technological innovations.
Tuesday, 23/02/2016 | 18:29 GMT by Jeff Patterson
Regulation

CFTC Charges NAAM With Illegal Off-Exchange Scheme Worth $2.5M

  • North American Asset Management, along with owners Alexi Bethel and Steven Labadie, were the subject of multiple CFTC charges, alleging fraud.
Monday, 22/02/2016 | 20:00 GMT by Jeff Patterson
Exchanges

A Cannabis Futures Market? Seed CX Aims to Pave the Way for Hemp

  • Hemp prospects from cannabis hit milestone as Seed SEF LLC seeks approval by CFTC.
Thursday, 18/02/2016 | 15:29 GMT by Steven Hatzakis
Brokers

US Regulators Victorious: Forex Dealers Data Hits All Time Lows

  • CFTC's foreign exchange dealers' client obligations data has hit an all time low at just above $544 million.
Thursday, 11/02/2016 | 11:06 GMT by Victor Golovtchenko
Regulation

Whileon Chay's 4X Solutions Ponzi Scam Hit with $10m Court Order

  • Millions of dollars Chay raised for FX trading were reportedly actually used to have his wife cryogenically frozen after she died.
Monday, 08/02/2016 | 19:40 GMT by Avi Mizrahi
Regulation

Eurex Clearing Receives CFTC Mandate as a Derivatives Clearing Organization

  • Eurex has received authorization to provide its suite of clearing services for swaps for US clearing members, exchanges, and market participants
Tuesday, 02/02/2016 | 10:43 GMT by Jeff Patterson
Regulation

CFTC Grants Longer-Term Registration Status to 18 SEFs

  • A total of 18 SEFs have been approved by the CFTC for more permanent registration status, following a previously temporary designation.
Friday, 22/01/2016 | 14:54 GMT by Jeff Patterson
Regulation

JPMorgan Settles with US Regulators for $367 million Over Conflicts of Interest

  • The U.S. bank has agreed to pay for violating the requirement to disclose conflicts of interest to some of its private banking clients.
Friday, 18/12/2015 | 18:07 GMT by Victor Golovtchenko
Brokers

GAIN Capital Gains US Market Share in October after MB Trading Flow Added

  • The trading volumes of MB Trading's clients have started to flow through to GAIN Capital after acquisition from IB TradeKing
Wednesday, 09/12/2015 | 08:29 GMT by Victor Golovtchenko
Blogs

Proposed U.S Automated Trading Rules Affect Trade Secrets and Cybersecurity

  • CFTC requirements are of particular concern to HFT traders who employ sophisticated algorithms that are heavily guarded trade secrets.
Thursday, 03/12/2015 | 11:25 GMT by Guest Contributors
Regulation

CFTC Adopts Comprehensive Automated Trading Rules

  • The Commodity Futures Trading Commission targets high-frequency traders, wants more transparency
Tuesday, 24/11/2015 | 17:29 GMT by Irina Slav
Execution

Eurex Extends Trade Entry Service Capabilities to US Market Participants

  • The TES will encompass myriad asset classes, including FX futures, equity index futures, fixed income futures, and options.
Monday, 23/11/2015 | 18:09 GMT by Jeff Patterson
Execution

GlobalRisk Teams up with Interactive Data for Joint CFTC Oversight Utility

  • The collaboration followed after the CFTC issued a contract to obtain additional tools to help monitor potential risk exposures.
Friday, 20/11/2015 | 10:47 GMT by Jeff Patterson
Exchanges

GMEX Receives CFTC Approval for IRS CMF Contracts in US

  • The newly approved IRS CMF contracts will also aim to extend the benefits of futures trading closer to OTC products in the US.
Wednesday, 18/11/2015 | 13:01 GMT by Jeff Patterson
Regulation

New Zealand Registered Broker IB Capital FX Charged by CFTC in $50m Scheme

  • The case is related to Senen Pousa and Investment Intelligence Corporation that had over 960 clients worldwide.
Monday, 16/11/2015 | 21:29 GMT by Victor Golovtchenko
Brokers

FXCM Inc and GAIN Capital Increase US Market Share in September

  • The latest batch of Futures Commissions Merchants data from the CFTC shows that the U.S. market rebounded in September
Wednesday, 11/11/2015 | 13:54 GMT by Victor Golovtchenko
Regulation

CFTC Unveils 2015 Enforcement Report, $4.6B in Fines against FX Abuse

  • in 2015, the CFTC imposed a total of $4.6 billion in penalties against banks and brokers to address FX, Libor, and ISDAFIX benchmark abuses.
Friday, 06/11/2015 | 16:12 GMT by Jeff Patterson
Regulation

NFA’s New Cybersecurity Guidance: What In-House Counsel Need to Know

  • The NFA is signaling that it expects either compliance with the “guidance” or an explanation as to why alternative methods are sufficient.
Tuesday, 03/11/2015 | 13:00 GMT by Guest Contributors
Regulation

American Watchdog Imposes New Cybersecurity Regulations

  • The newly approved information protection program includes several measures meant to prevent identity theft and hacking.
Sunday, 25/10/2015 | 12:14 GMT by Avi Mizrahi
Brokers

FXCM France Regulatory Hearing Leads to Press Speculation

  • An article in the local press asserts that the regulator is looking into imposing a fine on the foreign exchange and CFDs broker
Monday, 19/10/2015 | 15:43 GMT by Victor Golovtchenko
Brokers

US Retail Forex down Across the Board, August FCM Data Shows

  • The latest CFTC report shows that the size of the US retail forex industry is contracting. Interactive Brokers taking the biggest hit.
Thursday, 08/10/2015 | 16:50 GMT by Avi Mizrahi
Executive Moves

LedgerX Adds Compliance Maven, Mark Wetjen to Its Board of Directors

  • Just a few days after receiving an executive appointment at the DTCC, Mark Wetjen has also joined LedgerX's Board of Directors.
Friday, 25/09/2015 | 13:40 GMT by Jeff Patterson
Exchanges

CFTC Charges Tera Exchange for Wash Trading on Bitcoin Derivatives Platform

  • The CFTC has charged bitcoin derivatives platform Tera Exchange for failing to enforce prohibitions against circular trading schemes.
Thursday, 24/09/2015 | 17:55 GMT by Leon Pick
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