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Regulation
Unlawful Poaching Campaign Draws FCA Ban of Former BGC Senior Executive Anthony Verrier
The FCA has banned Anthony Verrier, a former senior executive at fx brokerage BGC Partners Inc. from participating in financial services for his misconduct following an abrupt exit from Tullet Prebon.
Thursday, 30/01/2014 | 00:10 GMT
by
Jeff Patterson
Regulation
UK's FCA Fines South Africa's Standard Bank Subsidiary £7.6 Million Over AML Failures
One of Africa's largest banks, with extensive operations in 18 African countries, and in 13 other countries outside of Africa, had its UK subsidiary served a fine by the Financial Conduct Authority over AML failures.
Thursday, 23/01/2014 | 18:15 GMT
by
Steven Hatzakis
Regulation
FCA Outlines Proposed Expenses Levy For Financial Compensation Scheme
Britain's Financial Conduct Authority has today released a consultation paper proposing that the Management Expenses Levy Limit under its customer compensation scheme should be set at £80 Million
Monday, 20/01/2014 | 21:02 GMT
by
Andrew Saks McLeod
Brokers
Exclusive: FX Licensing Consultancy Launches Technology & Social Trading Solution
FX licensing company Archer Consultants completes its quest for a turnkey solution with APIFX, a broker-neutral technology solution launched today, as well as a broker and liquidity agnostic social trading network.
Thursday, 16/01/2014 | 14:27 GMT
by
Andrew Saks McLeod
Executive Moves
Ex-Liquidnet Chief John Barker Appointed BCS Chairman, as UK Arm Gets LSE Membership
The brokerage boasting 10-15% of market share of volumes on the Moscow Exchange in FX and Securities, has bolstered its UK FCA regulated business, after a new executive chairman and membership on the LSE has been obtained.
Thursday, 16/01/2014 | 12:56 GMT
by
Steven Hatzakis
Executive Moves
Citi VP of FX Prime Brokerage Michael Mirarchi Joins ATC Brokers Ltd as CEO for UK Launch
Owners of Avail Trading Corp (ATC) operating in Forex and Futures markets as an IB in the US, had just registered a UK-FCA authorised brokerage last August and recently appointed a new Chief Executive Officer to that entity.
Wednesday, 08/01/2014 | 10:47 GMT
by
Steven Hatzakis
Brokers
Financial Spread Betting Still Hanging in There
Financial spread betting, a genuine investment product for the UK investor has recently come into the limelight for the wrong reasons, client numbers in decline and the possibility of a chargeable tax. However, it's not all doom and gloom.
Wednesday, 08/01/2014 | 07:48 GMT
by
Adil Siddiqui
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Regulation
FCA Update, Full Story Behind January 1st, 2014 Rules, and Clone Website Warnings
An extensive research by Forex Magnates informs readers of what is new and what is not, regarding recent rules that went into effect for firms authorised and/or registered with the UK's Financial Conduct Authority.
Tuesday, 07/01/2014 | 16:18 GMT
by
Steven Hatzakis
Expert Insights
The Correct Means By Which To Hire Fit and Proper Key Figures
Regulatory figures relating to how companies appoint management in the financial sector within the UK have been the subject of news reports.
Thursday, 19/12/2013 | 05:41 GMT
by
Trevor Clein
Technology
Bloomberg Launches Compliance Product to Mitigate Chat Room Risk
Aiming to provide a solution to compliance worries about multi-dealer chat room conversations, Bloomberg announced that the Compliance Center centralizes the firms existing compliance tools into a single location.
Tuesday, 17/12/2013 | 15:56 GMT
by
Ron Finberg
Analysis
What Do You Get When You Combine Proprietary Trading and Social on Mobile? TopTradr
This London based proprietary trading firm is completely mobile, and allocates funds to traders based on social, via ranking performance to determine the top trader, Forex Magnates interviews the firms CEO, in today's review.
Wednesday, 11/12/2013 | 20:29 GMT
by
Steven Hatzakis
Regulation
8 Dealers in Derivatives Rigging Scandal Fined a Total of €1.71 Billion by European Commission
UBS, Citigroup, Barclays, Deutsche Bank, RBS, Société Générale, JPMorgan and RP Martin named in settlement with European Commission in rigging case about Yen and Euro Interest Rate Derivatives, enforced under anti-cartel rules.
Wednesday, 04/12/2013 | 13:56 GMT
by
Steven Hatzakis
Executive Moves
BCS Promotes Tim Bevan to Board of Directors, and Gareth Johnson as Senior Trader in UK office
Established in 1995, one of Russia's largest brokers by volume-trading market-share aims to replicate its success as it expands its UK regulated London desk and promotes a new director to its executive board.
Monday, 02/12/2013 | 16:05 GMT
by
Steven Hatzakis
Analysis
Exclusive: FXOpen Launches UK site after Successful Regulation with FCA, Full Story
With entities regulated in New Zealand, Australia and now the United Kingdom, the latest forex broker to launch a website in the esteemed financial capital of foreign exchange trading speaks with Forex Magnates.
Friday, 15/11/2013 | 13:33 GMT
by
Steven Hatzakis
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Brokers
Twin Fines From CFTC and FCA Hit Rabobank, Ordered To Pay $643 Million, CEO to Resign
Part of an ongoing investigation into LIBOR price manipulations among major global broker’s and banks; the CFTC and FCA have announced the issuing of an Order against Rabobank, requiring them to pay $643 million.
Tuesday, 29/10/2013 | 13:52 GMT
by
Ron Finberg
Regulation
Canadian State Regulator Cautions Investors About YoutradeFX
Ontario Securities Commission, the financial services regulator for the Ontario has issued a warning against YoutradeFX. The notification comes after the broker solicits Canadian clients without holding the necessary licenses.
Friday, 25/10/2013 | 07:25 GMT
by
Adil Siddiqui
Products
Moving To The FXBeat: Jamie Coleman & Gerry Davies Add Charisma To Market News
FXStreet.com has today launched its news and commentary feed with witty adages, under the designation of FXBeat. The service repackages market information for the benefit of traders and brokers.
Tuesday, 15/10/2013 | 03:03 GMT
by
Andrew Saks McLeod
Technology
Divisa Capital Revives And Rebrands MB Trading UK For Overseas Expansion
Just over a year since the demise of MB Trading's British subsidiary, Divisa Capital has purchased MB Trading UK as a means of expanding its institutional offering into Europe, subsequent to rebranding to Divisa UK.
Wednesday, 09/10/2013 | 14:49 GMT
by
Andrew Saks McLeod
Brokers
Indonesian Monex Investindo Futures Launch UK Licensed Brokerage
Indonesian based Monex Investido Futures announced today the launch of London based Monex Capital Markets. Licensed by the FCA, Monex Capital becomes the Indonesian firm’s move into the EU and international markets,
Wednesday, 09/10/2013 | 06:58 GMT
by
Ron Finberg
Expert Insights
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
Regulation
Firms Fall Foul of Rulings on Safeguarding Client Funds Resulting in £7.1 Million Fine
Yesterday, two companies were issued penalties by regulatory authorities on both sides of the Atlantic for transgressing client fund security rulings. In the UK, Aberdeen Asset Management's penalty amounted to $7.1 million
Wednesday, 04/09/2013 | 11:34 GMT
by
Andrew Saks McLeod
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Regulation
International FX Rate Conspiracy: Are Dealers Fixing Prices?
Wednesday, 28/08/2013 | 07:45 GMT
by
Andrew Saks McLeod
Brokers
Regulations for Signal and Copy Trading? Tradeslide Gains FCA Authorization
Compliancy Services, a UK consulting firm that provides assistance to firms with their FCA regulatory needs has announced that their client, Tradeslide has gained authorization to act as an FX Investment Manager.
Sunday, 11/08/2013 | 10:15 GMT
by
Ron Finberg
Regulation
FCA Fines Royal Bank Of Scotland £5.6 Million For Failing To Report Transactions
Whilst regulatory authorities are busily engaged in defining the methods by which they intend to reform financial markets, one such aspect is trade and transaction reporting. The FCA demonstrates that this is also part of its remit by issuing RBS with a penalty.
Thursday, 25/07/2013 | 08:01 GMT
by
Andrew Saks McLeod
Regulation
CFTC Fines Algorithmic Trader $2.8 Million For Spoofing In The First Market Abuse Case Brought By Dodd-Frank Act, And Imposes Ban
Today, the US Commodity Futures Trading Commission and Britain's FCA announced that they have brought a milestone case against an algorithmic trading entity for market abuse, representing the first Dodd-Frank Act application.
Monday, 22/07/2013 | 13:09 GMT
by
Andrew Saks McLeod
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