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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
Regulation
Monetary Authority Of Singapore Issues Consultation On Basel III Liquidity Risk
The Singaporean regulatory authorities have issued a detailed consultation paper relating to the implementation of the proposed Basel III rulings on liquidity. An emphasis has been placed on ensuring less reliance on FX Swaps.
Sunday, 01/09/2013 | 10:02 GMT
by
Andrew Saks McLeod
Regulation
BIS Report on OTC Derivatives: Just How Much Does Market Reform Cost?
A group of 29 institutions and authorities published a report on the effects of regulatory steps on the centralized clearing market, and sent reassuring signals about the collaterals needed to fund them.
Monday, 26/08/2013 | 12:26 GMT
by
Andrew Saks McLeod
Regulation
$72 Million Ponzi Scheme Lands Gregory McKnight With 15 Year Jail Sentence
The US Securities and Exchange Commission announced yesterday that Gregory McKnight has been sentenced to 15 years and 8 months in jail for operating a $72 million Ponzi scheme and operating without regulatory approval.
Wednesday, 14/08/2013 | 08:36 GMT
by
Andrew Saks McLeod
Executive Moves
Ladies At The Top: SEC Elects Kara M. Stein As Commissioner
The US Securities and Exchange Commission elected Kara M. Stein as Commissioner on Friday last week, superceding Elisse B. Walter. Serving under incumbent Chair Mary Jo White, this represents a highly senior position.
Sunday, 11/08/2013 | 09:16 GMT
by
Andrew Saks McLeod
Regulation
SEC Increases Rulings For Firms Holding Client Assets - Imposes Further Protective Policies
The handling of client funds is a matter at the heart of regulatory policy currently, further borne out by today's ruling by the SEC that it will adopt more stringent rulings on the handling of client funds placed with broker-dealers.
Wednesday, 31/07/2013 | 20:21 GMT
by
Andrew Saks McLeod
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
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Regulation
Keep Calm And Carry On Looking After Client Funds: Britain's FCA Draws Up Consultation Paper To Further Refine CASS Rulings
As the regulatory environment tightens up and continually works toward protection of client funds whilst in the hands of OTC derivatives firms, Britain's Financial Conduct Authority issues proposed refinements.
Tuesday, 16/07/2013 | 10:05 GMT
by
Andrew Saks McLeod
Regulation
SEC Gets Its Act Together - Publishes Final Ruling On Retail FX
Just one day after SEC Commissioner Luis Aguilar expressed his dismay at the length of time taken to produce final rulings on retail FX, the regulator today produced its full and concise ruling in final form.
Friday, 12/07/2013 | 16:51 GMT
by
Andrew Saks McLeod
Regulation
Banc De Binary Speaks Out Amid US Lawsuit - No More American Clients, But Will Regulators Continue With Proceedings?
Further to last month's proceedings issued against Banc De Binary for allegedly engaging in the illegal activity of soliciting US clients, the firm today issued a statement that it is not accepting US clients. Outcome of lawsuit still hangs in the balance.
Saturday, 06/07/2013 | 14:01 GMT
by
Andrew Saks McLeod
Regulation
Journey into the Unknown – Chinese Regulators Revising Laws to Assist Overseas FX Firms
Chinese foreign exchange regulator SAFE has made steps toward reducing some of the entry barriers for foreign investment, leading to potentially lower entry barriers for overseas firms wishing to conduct business in the country. What risks lie ahead though?
Wednesday, 22/05/2013 | 12:14 GMT
by
Andrew Saks McLeod
Executive Moves
SEC Appoints New Co-Directors Of Enforcement
Tuesday, 23/04/2013 | 06:41 GMT
by
Andrew Saks McLeod
Regulation
Argentina puts hold on US$ transactions
Wednesday, 16/11/2011 | 23:22 GMT
by
Adil Siddiqui
Analysis
Beijing to liberalise Yuan usage
China's Ministry of Commerce has formulated a detailed plan which outlines offshore Yuan funds to flow back into China. These measures will position the worlds secnd largest economies currency as a major global reserve currency.
Tuesday, 23/08/2011 | 12:32 GMT
by
Adil Siddiqui
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