compliance
PayPal compliance exec moves to Bitstamp to lead compliance program
Tuesday, 04/11/2014 | 12:20 GMT by
Leon Pick
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
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
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
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
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
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
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
Exec Moves: Integral's Lukasiewicz's New Role and CFH Clearing's Latest Appointment
- Forex Magnates' Experts site reports the most notable moves in the dynamic FX industry. Today witnessed Mr. Lukasiewicz's parting ways with Integral, and the appointment of Head of Sales at CFH Clearing.
Thursday, 03/07/2014 | 15:06 GMT by
Jeff Patterson
Former Lloyds Director, Alison Hewitt, Joins HSBC as European Head of Regulatory Compliance
- Europe’s largest bank, HSBC Holdings Plc, has announced the appointment of Alison Hewitt, formerly of Lloyds Banking Group, having recruiting her for the key role of Head of Regulatory Compliance in its European Division.
Monday, 23/06/2014 | 13:38 GMT by
Jeff Patterson
IEX Appoints Leading SEC Official, John Ramsay, as Its Newest Regulatory Officer
- The IEX, a beacon of transparency and fairness in the financial industry, has announced that former SEC Acting Director John Ramsay will be joining the organization as its newest Chief Market Policy and Regulatory Officer.
Tuesday, 17/06/2014 | 10:13 GMT by
Jeff Patterson
Secure wallet LifeLock removed from app stores after not being PCI compliant
Thursday, 22/05/2014 | 10:30 GMT by
FMAdmin Someone
CySEC Fines AFX Capital Markets Ltd €10,000 on a Number of Violations
- The company operating the AFX Capital brand, based in Cyprus, and with multiple entities regulated in several jurisdictions, got fined a total of ten thousand Euros today, by the Cyprus Securities & Exchange Commission.
Wednesday, 14/05/2014 | 14:44 GMT by
Victor Golovtchenko
Bitcoin Hiring Continues as itBit Adds Former PayPal and SecondMarket Employees
Thursday, 08/05/2014 | 11:35 GMT by
Ron Finberg
New Zealand Slated to Unveil Landmark Financial Reporting Act on April 1st
- New Zealand’s Financial Markets Authority has announced that the Financial Reporting Act, which will implement market-wide parity for financial reporting obligations in NZ, is poised take effect on April 1.
Friday, 14/03/2014 | 12:42 GMT by
Jeff Patterson
Microsoft ceasing support for Windows XP. Merchant PCI compliance at risk
Thursday, 13/03/2014 | 15:28 GMT by
FMAdmin Someone
Citi Private Bank Teams with Charles River IMS, Consolidating Trading and Compliance
- Citi Private Bank, a leading player across all asset classes has integrated Charles River Investment Management Solutions (IMS), consolidating its global solutions, trading, and compliance operations.
Thursday, 13/02/2014 | 02:38 GMT by
Jeff Patterson
Traiana Synergy with Cyprus-Based Confisio Group for its Clients EMIR Reporting Needs
- A provider of proprietary and 3rd party brokerage solutions, gains the support of Traina with the latest synergy for it to use Traina's Trade Repository reporting capabilities under EMIR for its Cyprus based clients.
Thursday, 30/01/2014 | 19:42 GMT by
Steven Hatzakis
SEPA Migration increased significantly at the end of 2013
Wednesday, 22/01/2014 | 13:52 GMT by
FMAdmin Someone
Thomson Reuters Taps b-next for Detection of Market Abuse and Surveillance
- A solution announced for systematic surveillance of trading activity to detect market abuse, suspicious trading, price manipulation, and insider trading, as the subject of fair market price integrity comes under pressure.
Tuesday, 21/01/2014 | 18:24 GMT by
Steven Hatzakis
Full Procedure Relating To EMIR - Spot FX Exempt!
- If you trade in derivatives in all asset classes you will need to report all transactions as part of EMIR regulation.
Wednesday, 15/01/2014 | 14:30 GMT by
Trevor Clein
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