compliance
PR: Heidelpay, First Internet Payment Provider certified as a payment institution by BaFin
Monday, 04/11/2013 | 00:00 GMT by
FMAdmin Someone
Former Facebook and PayPal risk specialist joins Paymill
Thursday, 31/10/2013 | 00:00 GMT by
FMAdmin Someone
US authorities seizes additional $28 million in Bitcoins from Silk Road founder
Sunday, 27/10/2013 | 00:00 GMT by
FMAdmin Someone
TeraExchange Appoints New Chief Compliance Officer Post SEF Approval
- Multi-asset Swap Execution Facility (SEF) provider, TeraExchange has appointed a new Chief Compliance Officer and Senior Vice President. Andrew V. Waskow, he will oversee surveillance of trading on TeraExchange and the newly approved SEF.
Thursday, 03/10/2013 | 17:58 GMT by
Adil Siddiqui
Silk Road shut-down: $3.6 million in bitcoins seized in FBI raid
Thursday, 03/10/2013 | 00:00 GMT by
FMAdmin Someone
PCI compliance templates can now be downloaded by North American merchants
Friday, 20/09/2013 | 00:00 GMT by
FMAdmin Someone
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.
Thursday, 19/09/2013 | 16:05 GMT by
Adil Siddiqui
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 clients.
Sunday, 08/09/2013 | 16:22 GMT by
Trevor Clein
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 by OakFX, the forceful sales tactics and high pressure environment has been revealed.
Sunday, 08/09/2013 | 09:34 GMT by
Andrew Saks McLeod
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 the potential attainable returns from investing in Phoenix Forex's Oak FX system.
Thursday, 29/08/2013 | 09:04 GMT by
Andrew Saks McLeod
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 the firm, following a complaint filed in April for non-cooperation. Permanent ban administered.
Thursday, 08/08/2013 | 11:46 GMT by
Andrew Saks McLeod
New Zealand FMA Continues Senior Level Restructure - Sue Brown Elected To Position of Head Of Strategy, Innovation and Development
- As New Zealand's financial regulatory environment evolves, the FMA makes further appointments to its leadership team. Today, Sue Brown assumes her new role as Head of Strategy, Innovation and Development.
Sunday, 14/07/2013 | 12:49 GMT by
Andrew Saks McLeod
New Zealand FMA CEO Sean Hughes Announces Resignation, Will Clear His Desk At End Of 2013
- The New Zealand Financial Markets Authority today announced the intention of its CEO to stand down at the end of this year, after a three year tenure during the inaugural stages of the national regulator.
Thursday, 11/07/2013 | 09:13 GMT by
Andrew Saks McLeod
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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