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Technology

RegTech Provider Kinetix Enters UK, CEO says "rules keep evolving"

Plans revealed during an exclusive call with Kinetix's CEO Amit Karande.

Thursday, 24/03/2016 | 14:29 GMT by Steven Hatzakis

Regulation

ANZ to Pay $4.5 Million in Compensation After Compliance Review

The Australian watchdog announces that ANZ Group has agreed to an independent review of its OnePath subsidiaries’ compliance.

Tuesday, 15/03/2016 | 10:05 GMT by Damian Chmiel

Regulation

KYC.com JV Expands Compliance Initiative to Singapore and Hong Kong

The compliance sharing joint venture backed by Markit and Greenpact expands to Asia as support arrives in Hong Kong and Singapore.

Thursday, 18/02/2016 | 08:33 GMT by Ron Finberg

Execution

Markit Selected By UBS For Index Management in Bid to Streamline Compliance

The new partnership with UBS is important for both parties as it will help facilitate the delivery of the lender’s index offering.

Tuesday, 26/01/2016 | 12:11 GMT by Jeff Patterson

Executive Moves

TransferTo Adds Ex-PayPal Exec, Paul de Ruiter as Chief Compliance Officer

Mr. de Ruiter joins TransferTo from PayPal, having served as its Compliance Director for over three years out of Singapore for nearly 8 years.

Thursday, 10/12/2015 | 11:01 GMT by Jeff Patterson

Executive Moves

ADS Securities Onboards Patrick Lindsay as Head of Compliance

ADS Securities onboards an industry veteran at a time when global compliance costs for financial institutions are on the rise

Thursday, 08/10/2015 | 11:33 GMT by Victor Golovtchenko

Blogs

To Whom Should Australian OTC Derivative Issuers Report?

With the October 12 reporting deadline looming, Patricia Tsang and Sophie Gerber help issuers get a handle on reporting requirements.

Friday, 04/09/2015 | 14:20 GMT by Sophie Gerber

Executive Moves

OANDA Europe Taps Compliance Maven, Siddhartha Valluri, as Its Director

In his new role, Mr. Valluri will continue to foster transparency and compliance measures for the broker’s global network of operations.

Thursday, 20/08/2015 | 11:09 GMT by Jeff Patterson

Analysis

Is the End of Self-Deposits the Beginning of Automated Account Onboarding?

Automated account verification software streamlines the customer onboarding process. This comes at a good time with KYC rules becoming tougher.

Monday, 27/07/2015 | 08:15 GMT by Ron Finberg

Technology

Interview: Tradair in an Era of Surveillance

Tradair's Brian Andreyko discusses technology, trading and regulation in an interview with Finance Magnates.

Monday, 06/07/2015 | 11:53 GMT by Andy Traveller

Regulation

Exclusive: Simon Appleton on Big Fines, New Rules and Being Prepared

A discussion about the importance of confidence in the market for the sake of all involved.

Friday, 19/06/2015 | 20:03 GMT by Andy Traveller

News

Ripple Trade to Require ID in Compliance Shift

Users of Ripple Trade wallets will be required to supply "identifiable information" later this year, according to an e-mailed notice.

Wednesday, 15/04/2015 | 07:31 GMT by Leon Pick

Products

NFA Charged Introducing Broker FX Evolve for Offering Services to Traders with Criminal Past

The NFA says that in connection with all the counts in this case it may impose a number of penalties including suspension from membership and a monetary fine not to exceed $250,000 for each violation.

Wednesday, 31/12/2014 | 10:32 GMT by Avi Mizrahi

Regulation

ASIC Forces Broker to Enhance Supervision in "Forex Crackdown"

The Australian watchdog raised concerns over Calibre’s risk frameworks, advice to clients and supervision of representatives, and the company has changed the way it does business adhering to a stricter procedures.

Monday, 08/12/2014 | 07:19 GMT by Avi Mizrahi

Uncategorized

Are Brokers Migrating to Latin America Due to Stringent US Regulation?

We certainly see that more and more brokers going to Latin America, however I wouldn't call it migration.

Wednesday, 03/12/2014 | 00:01 GMT by Peter Tatarnikov

Uncategorized

How Has The Financial Commission Fared With Cryptocurrency Providers?

The Financial Commission is currently working on creation of a regulatory framework for crypto currency ECNs, that is scheduled to launch

Monday, 17/11/2014 | 00:01 GMT by Peter Tatarnikov

News

PayPal compliance exec moves to Bitstamp to lead compliance program

Tuesday, 04/11/2014 | 12:20 GMT by Leon Pick

Regulation

Regulatory Authorities Nearing FX Manipulation Charges, Fines Approaching $41B?

Following a yearlong investigation by a number of global regulators alleging FX manipulation by many of the world’s leading banks, the potential costs associated with fines are starting to be weighed.

Tuesday, 21/10/2014 | 08:33 GMT by Jeff Patterson

Analysis

Worldwide Investment Fund Reliance Prompts Regulatory Focus

With wounds of the previous global financial crisis still lingering, asset managers and regulators are focusing on the mounting reliance of investment funds worldwide, which are estimated at 90% of the global economy.

Monday, 13/10/2014 | 06:39 GMT by Jeff Patterson

Interviews

CySEC's Demetra Kalogerou Talks Binary Options, Regulatory Headwinds

Forex Magnates checked in with Demetra Kalogerou, Chairman of the Cyprus Securities and Exchange Commission (CySEC).

Monday, 15/09/2014 | 00:04 GMT by Avi Mizrahi

Regulation

CySEC Launches New Regulatory Directive against Market Abuse

The Cypriot regulator has launched a series of mandates and edicts policing against unregulated entities, including a recent push to curb market abuse (MAR). The new amendments will take effect in 2016.

Tuesday, 09/09/2014 | 11:23 GMT by Jeff Patterson

Analysis

US Watchdog Pays $300,000 Whistleblower Award to Compliance Agent Who Reported on His Firm

The SEC proves that it is willing to pay big for employees to rat on their firms in its battle against fraud and corruption with the first award for a whistleblower with an audit or compliance function at a company.

Tuesday, 02/09/2014 | 19:05 GMT by Avi Mizrahi

Executive Moves

Andrew Ferry Appointed to Head FX Compliance at JPMorgan

The biggest US bank by assets JPMorgan Chase & Co. (JPM), has appointed Andrew Ferry to head its FX and rates markets compliance team. The position was previously non-existent as the new team has been formed just recently.

Thursday, 31/07/2014 | 12:09 GMT by Victor Golovtchenko

Expert Insights

June EMIR Q and A – Too Little Too Late?

In June, a further ESMA Q and A update was published and unlike the May update.

Tuesday, 08/07/2014 | 03:00 GMT by Mark Kelly

Executive Moves

Jennifer Granholm Promoted to Role of Senior VP of Compliance at ADS Securities

Abu Dhabi-based ADS Securities has recently promoted Jennifer Granholm to the rank of Senior Vice President of Compliance & Money Laundering Reporting Officer, having served with the firm previously as a Compliance Manager.

Monday, 07/07/2014 | 16:05 GMT by Jeff Patterson

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