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Regulation

Complyport and EIMF Partner for Compliance Training

  • The two companies will be providing face-to-face and online education sessions
Tuesday, 20/11/2018 | 09:37 GMT by David Kimberley
Technology

New Change FX Launches Surveillance Solution

  • The new 'advanced protection system' will aid compliance and operational risk divisions.
Monday, 15/10/2018 | 13:14 GMT by David Kimberley
Executive Moves

ADSS London Welcomes Bank of America Compliance Veteran

  • Following a 17-year-stint at BAO, Lesley Kumar joins the board of the London subsidiary of ADSS
Tuesday, 18/09/2018 | 14:39 GMT by Victor Golovtchenko
Regulation

ASX Investigates BPG’s Penny Stock Aiming to Raise $15 Million in ICO

  • ASX is looking into Byte Power Group to see whether it is in compliance with the ASX Listing Rules.
Wednesday, 05/09/2018 | 09:36 GMT by Celeste Skinner
Analysis

Market Data Compliance: a New Headache for CFD Firms?

  • "If you haven’t been contacted, then the chances are you will."
Tuesday, 04/09/2018 | 06:28 GMT by Rod Martenstyn
Executive Moves

Affiliate Group Investoo Secures James McCarthy as General Counsel

  • McCarthy is the third notable hire for the firm this month, joining James Beale and Jamie Beadle.
Tuesday, 28/08/2018 | 10:06 GMT by Celeste Skinner
Regulation

The Challenging Role of a Compliance Officer in the New Regulatory Landscape

  • A progressive value-added compliance officer should be forward thinking and commercially minded
Tuesday, 14/08/2018 | 15:49 GMT by Rod Martenstyn
Interviews

Exclusive: It's Comply or Die for Small Brokers, Says Muinmos' Nielsen

  • We spoke to the RegTech firm exec about their efforts to help brokers with the professional reclassification process
Wednesday, 01/08/2018 | 07:58 GMT by David Kimberley
Executive Moves

Stater Global Markets Appoints Simon Henry as Head of Compliance

  • Simon Henry joins Stater with 17 years of experience in compliance-based roles.
Thursday, 28/06/2018 | 14:01 GMT by Celeste Skinner
Executive Moves

Sequant Capital Hires Ex-PayPal Manager Wilgenhof Plante as Compliance Officer

  • He brings expertise from the mainstream financial ‎industry and other ‎sections of the digital economy.
Tuesday, 15/05/2018 | 18:13 GMT by Aziz Abdel-Qader
Thought Leaders

The Bahamas – Clearly the Next Best Financial Services License

  • The FCA was ​once seen as the only jurisdiction where firms aspired to get a license though this has changed
Monday, 07/05/2018 | 14:06 GMT by Peg Reed
Executive Moves

Jon Friend Departs ActivTrades After Serving 7 Years as Compliance Director

  • Mr. Friend was one of the ‎longest serving at ActivTrades, having joined the ‎‎group in London office back in 2011.
Monday, 19/02/2018 | 18:58 GMT by Aziz Abdel-Qader
News

New Rules? CFTC Chairman Open to Federal Regulation of Cryptos

  • Federal regulations surrounding the use of cryptos could be around the corner.
Monday, 05/02/2018 | 19:17 GMT by Jeff Patterson
Executive Moves

Simon Henry Leaves GWFX After 8 Months as Head of Compliance

  • Candidates for replacement are not currently known.
Thursday, 21/12/2017 | 14:39 GMT by Finance Magnates Staff
Regulation

oneZero Teams Up with TRAction, Supporting MiFID II and EMIR Solutions

  • The accord will help simplify MiFID II and EMIR transaction reporting for FX and CFD brokers.
Thursday, 14/12/2017 | 14:16 GMT by Jeff Patterson
Executive Moves

KVB Kunlun CEO Liu Stefan Takes on Dual Role as Compliance Officer Resigns

  • The outgoing executive joined Cayman Islands-based KVB Group in 2006 and was made an executive director in 2009.
Friday, 17/11/2017 | 20:16 GMT by Aziz Abdel-Qader
Thought Leaders

Why Content Marketing is Instrumental for ICOs

  • What is an ICO and why is content marketing for ICOs important?
Wednesday, 01/11/2017 | 10:54 GMT by FM
Blogs

Top of Book a Top Concern for Compliance Officers at Australian FX Brokers

  • ASIC-regulated brokers should evaluate their procedures to ensure that they are compliant with Australian laws.
Wednesday, 25/10/2017 | 09:58 GMT by Guest Contributors
Regulation

Lack of Awareness Surrounding MiFID II Deadline Could See €5m Fines

  • A study by NPL found that 34 percent of respondents were unable to pinpoint specific deadlines for compliance.
Monday, 23/10/2017 | 08:23 GMT by Jeff Patterson
News

ADGM Partners with CoreFiling to Enhance Reporting and Compliance Procedures

  • ADGM hopes to better address the needs of its stakeholders through this partnership.
Wednesday, 20/09/2017 | 09:42 GMT by Colin Firth
Executive Moves

Compliance Officer and Director Demetris Kyriacou Leaves IronFX

  • The board seat is vacated as the company received a significant investment from a Middle East family office.
Tuesday, 12/09/2017 | 14:35 GMT by Victor Golovtchenko
Regulation

Trax Gains APA Authorization for its MiFID II Solutions Suite

  • Today's FCA authorization opens up new opportunities for Trax's offering as MiFID II looms.
Friday, 25/08/2017 | 12:35 GMT by Jeff Patterson
Regulation

FCA Grants APA Approval for Bloomberg’s MiFID II Solutions

  • The approval is welcome news for Bloomberg which has already begun testing its end-to-end APA workflow.
Friday, 25/08/2017 | 09:56 GMT by Jeff Patterson
Blogs

Senior Managers Regime Compliance Could Usher in a New Era of Joint Working

  • The new SMR seeks to strengthen personal accountability in financial institutions.
Monday, 14/08/2017 | 19:59 GMT by Guest Contributors Institutional
Execution

NEX Optimisation Undergoes Network Upgrade for Harmony Ahead of MIFID II

  • The upgrade will strengthen transparency measures surrounding Traiana's Harmony messaging network.
Tuesday, 08/08/2017 | 10:51 GMT by Jeff Patterson
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