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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.

Thursday, 23/03/2023 | 12:31 GMT 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.

Tuesday, 31/01/2023 | 12:17 GMT 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.

Thursday, 03/11/2022 | 09:22 GMT 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.

Tuesday, 03/05/2022 | 10:48 GMT 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

Wednesday, 06/06/2018 | 05:44 GMT 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.

Friday, 28/08/2015 | 07:02 GMT 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.

Thursday, 30/07/2015 | 12:10 GMT 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.

Tuesday, 19/11/2013 | 18:40 GMT 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.

Tuesday, 01/10/2013 | 09:29 GMT 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.

Tuesday, 17/09/2013 | 09:21 GMT 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.

Tuesday, 06/08/2013 | 21:24 GMT by Adil Siddiqui

Executive Moves

SEC Appoints New Co-Directors Of Enforcement

Tuesday, 23/04/2013 | 06:41 GMT by Andrew Saks McLeod

Regulation

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

Thursday, 04/04/2013 | 06:50 GMT by Andrew Saks McLeod

Regulation

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

Friday, 05/10/2012 | 18:19 GMT by Adil Siddiqui

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