compliance
NFA Files Another Complaint Against Alpari – US Business May No Longer Make Economic Sense
- Alpari US has once again found itself the target of the regulators due to compliance violations as it has received a complaint from the NFA. In its complaint, the NFA is charging that Alpari violated existing NFA rules.
Tuesday, 02/07/2013 | 11:32 GMT by
Ron Finberg
New Zealand’s Financial Markets Authority Releases Annual Investigations And Enforcements Report
- As part of a program of strengthening New Zealand's regulatory structure, the FMA, the country's national regulator, has released its annual report on investigations which it carried out within a 12 month period.
Monday, 01/07/2013 | 13:22 GMT by
Andrew Saks McLeod
LQD Markets Required to Pay €80,000 by CySEC; Comes To Mutually Agreeable Settlement
- Cypriot regulator CySEC has today entered into a settlement with LQD Markets following the company's exclusive announcement to Forex Magnates regarding CySEC's issue of an €80,000 fine as rules tighten.
Monday, 24/06/2013 | 09:47 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
ThinkLiquidity Releases New MAM, Analytics, and Compliance Consulting Products
Sunday, 20/01/2013 | 23:00 GMT by
Ron Finberg
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