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Retail FX

SEC Distributes $1 Billion to Harmed Investors in 2023

  • SEC escalates enforcement with 784 actions in FY23.
  • The regulator also paid out a record number of rewards to whistleblowers.
by Damian Chmiel
Retail FX

Singapore's MAS Comes Out Swinging with $20M in Fines for Financial Misconduct

  • MAS has released its 4th Enforcement Report, highlighting a stricter approach to financial misconduct.
  • The report unveils a focus on regulating digital assets in the coming years.
by Damian Chmiel
Retail FX

ASIC Reports $109M in Civil Penalties and 144 Ongoing Cases after H1 2023

  • The first half of 2023 saw 125 charges against individuals.
  • 70 investigations have commenced, and 144 are still ongoing.
by Damian Chmiel
Regulation

‘A Lighter Regulatory Touch’? FCA’s Enforcement Cases Plummet in FY 22/23

  • The number of cases that the FCA opened dropped from 190 to 100 in FY22/23.
  • The British watchdog said its enforcement approach remains 'unchanged'.
by Solomon Oladipupo
Retail FX

FCA Announces Joint Executive Directors for Enforcement and Market Oversight

  • Chambers and Smart will replace Steward.
  • Smart joins from the NCA, and Chambers has many years of experience from the FCA.
by Damian Chmiel
Institutional FX

Regulators Slapped Industry with Record Fines in 2022, SEC in the Lead

  • WhatsApp crackdown amounted to fines of $1.1 billion.
  • Also, European regulators imposed high penalties although visibly lower than the SEC.
by Damian Chmiel
Retail FX

ASIC Heralds 12 'Enforcement Priorities' for 2023, including Crypto

  • New priorities focus on the protection of consumers from financial harm.
  • The new list includes greenwashing, social media misinformation and cryptocurrencies.
by Damian Chmiel
Regulation

SEC Strengthens Crypto Enforcement Unit, Adds 20 New Roles

  • The unit will now have 50 dedicated positions.
  • It was established in 2017 and took action against over 80 crypto-related violators.
by Arnab Shome
Regulation

Exclusive: US Authorities to Launch Major Crackdown Against Binary Options

  • The impending clampdown is most likely the product of a legal saga against several affiliate marketers
by Finance Magnates Staff
Regulation

FMA Drawing on New Powers to Go after Firms Out of Court

  • A report published by the New Zealand financial watchdog highlights its approach to enforcement and investigations activities.
by Andy Traveller
Executive Moves

Daniel Hawke Steps down as SEC’s Chief of Market Abuse Unit after 16 Years

  • The SEC veteran pioneered the unit's high-tech crack-down on market structure violations and complex insider trading schemes.
by Andy Traveller
Regulation

NADEX Undergoes Rule Enforcement Review By CFTC - Clean Bill Of Health Confirmed

  • The US Commodity Futures Trading Commission has today released the results of an enforcement review which it conducted within binary options exchange NADEX, concluding that the company maintains adequate practices.
by Andrew Saks McLeod
Regulation

CFTC Loses Chief of Enforcement Responsible For Bringing Hundreds of Cases in Recent Years

  • The CFTC says goodbye to Chief of Enforcement David Meister, who during his three year tenure was responsible for a plethora of enforcement actions. Ms. Gretchen L. Lowe is to succeed his position.
by Steven Hatzakis
Executive Moves

Regulatory Veteran Vincent A. McGonagle Appointed Director of CFTC Division of Market Oversight

  • Continuing his 16 year career at the US Commodity Futures Trading Commission, it was yesterday announced that Vicent A. McGonagle has been appointed Director of the CFTC's Division of Market Oversight.
by Andrew Saks McLeod
Regulation

Fraudulent Commodity Trader Gets $7.5 million Fine

  • A federal court in Illinois has ordered a fraudulent money manager to pay $7.5 million in restitution. Chicago based Bradley Scott duped innocent investors for a total $7.8 million to trade in commodity futures.
by Adil Siddiqui
Executive Moves

SEC Appoints New Co-Directors Of Enforcement

by Andrew Saks McLeod
Regulation

Enforceable Undertaking Accepted By ASIC Following Investigation of Halifax Securities Risk Management Procedure

by Andrew Saks McLeod
Regulation

To Regulate or Not Too Regulate - CFTC Fines 200+ in 2 Years

by Adil Siddiqui
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