COMPLIANCE

FX Broker Warns IB’s Against Possible Phishing Scams Floating Around

Leading FX brokerage firm, FXCM, has issued an email notification to its introducing brokers warning them of a phishing scam that is posing as the broker. The firm informed its clients to be wary of the email. ...

EU online gaming and its legalities

Gambling is not a novel idea by any stretch of the imagination; throughout history, people have indulged or fought ...

The Implementation of COBS10 – What To Do Next

The implementation of COBS10, the test that firms must carry out if they provide non-advised investment services to retail ...

Lid Lifted On OakFX Boiler Room Following FMA Regulatory Warning

Further to last week's warning issued by the New Zealand FMA urging investors to exercise extreme care when approached ...

Caveat Emptor! New Zealand FMA Warns About Attempt To Dupe Clients

New Zealand's FMA has today issued a warning concerning what it considers to be unrealistic and misrepresenting claims regarding ...

Case Closed: NFA and IKON Global Markets Settle

The US National Futures Association has entered into a settlement with IKON Global Markets and a senior director of ...

New Zealand FMA Continues Senior Level Restructure – Sue Brown Elected To Position of

As New Zealand's financial regulatory environment evolves, the FMA makes further appointments to its leadership team. Today, Sue Brown ...

New Zealand FMA CEO Sean Hughes Announces Resignation, Will Clear His Desk At End

The New Zealand Financial Markets Authority today announced the intention of its CEO to stand down at the end ...

NFA Files Another Complaint Against Alpari – US Business May No Longer Make Economic

Alpari US has once again found itself the target of the regulators due to compliance violations as it has ...

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 ...

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 ...

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 ...

ThinkLiquidity Releases New MAM, Analytics, and Compliance Consulting Products

In an interview with Forex Magnates in November, when explaining just what his company does, Jeff Wilkins, Managing Director ...

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