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Retail FX
NFA Slaps $350K Fine on GMG Brokers and Its CEO
The company and the two employees settled by paying the penalty.
The other employee has been facing an NFA membership ban for four months.
Thursday, 02/03/2023 | 06:51 GMT
by
Arnab Shome
Executives
StoneX Hires SWIFT’s Edward Phelps as Head of Sales Strategy
Phelps brings about a decade of experience to the role.
The NFA slapped a $1 million fine on subsidiary StoneX Markets on Thursday.
Friday, 13/01/2023 | 19:48 GMT
by
Solomon Oladipupo
Institutional FX
NFA Fines StoneX Markets $1 Million for Compliance Failures
The company agreed to settle but did not accept or deny the allegations.
Earlier, NFA slammed penalty on GAIN Capital, another subsidiary of StoneX Group.
Friday, 13/01/2023 | 11:44 GMT
by
Arnab Shome
Retail FX
NFA Fines Interactive Brokers $250k for Retail FX, Supervisory Failures
Interactive failed to heed a warning issued in May 2021, NFA says.
The broker also ignored a directive from the NFA for three months after the deadline.
Saturday, 16/04/2022 | 09:56 GMT
by
Solomon Oladipupo
Binary Options
NFA Fines US Broker, Coquest, $275,000 for Compliance Failure
Woodbine, an LLC founded by Coquest Pres. & VP in 2010, has been allegedly trading futures without CFTC’s nod.
NFA charged Coquest with failure to supervise conduct of its employees and agents.
Friday, 01/04/2022 | 06:57 GMT
by
Solomon Oladipupo
Retail FX
NFA Orders Introducing Broker Marex to Pay a $250,000 Fine
The decision is based on a complaint by the BCC and an offer by Marex.
The company allegedly allowed unregistered individuals to act as associated persons.
Wednesday, 30/03/2022 | 19:48 GMT
by
Felipe Erazo
Regulation
NFA Sounds Alarm over Phishing Emails Impersonating Its Staff
The mass email scam appears to be from the source domain name '@nfa-futures.org'.
Wednesday, 03/03/2021 | 22:05 GMT
by
Aziz Abdel-Qader
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Regulation
NFA Bans Investment Advisor Monsoon and Founder Prakash
Prakash has been ordered to not reapply for membership for seven years.
Thursday, 06/08/2020 | 08:39 GMT
by
Celeste Skinner
Regulation
Trading.com Secures US Approval to Operate as FX Firm
The brand of the Trading Point Group has been registered by the NFA as a forex firm.
Tuesday, 21/04/2020 | 09:28 GMT
by
Celeste Skinner
Institutional FX
NFA Hikes Margin Requirements for Norwegian Krone and Mexican Peso
NFA requires investors to put a minimum margin of 7% of their Krone trades and 12% of leveraged bets on the Peso.
Friday, 20/03/2020 | 23:14 GMT
by
Aziz Abdel-Qader
Regulation
CFTC Charges Denari Capital & Co, with $8.3 Million FX Fraud
The fraudsters managed to con at least 28 participants, the CFTC alleges.
Wednesday, 06/11/2019 | 07:20 GMT
by
Celeste Skinner
Regulation
NFA Bars Fortress for Helping FX Traders Get Around Regulations
Fortress told clients to open their accounts from foreign jurisdiction under the name of a friend.
Friday, 20/09/2019 | 20:45 GMT
by
Aziz Abdel-Qader
Brokers
Taiwan Firm Cancels NFA Application for FX Dealer Member Status
Nanshan Jinchuang Co originally applied for the status in May of this year.
Thursday, 18/07/2019 | 07:57 GMT
by
Celeste Skinner
Regulation
Two More Brokers Applying For Retail FX Licenses in the US
Brightwin Securities and Nanshan Jinchuang both applied to become registered as NFEDs by the NFA last month
Monday, 17/06/2019 | 09:18 GMT
by
David Kimberley
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Regulation
NFA Fines East West Global $750,000 for Overcharging Clients
The filing also said the company failed to adequately disclose the high fees and poor overall performance of the pools.
Wednesday, 10/04/2019 | 16:47 GMT
by
Aziz Abdel-Qader
Analysis
US Retail FX Market Survived the Worst and Is Finally Growing
Are we observing the rebirth of the US market and are more brokers to come?
Wednesday, 27/03/2019 | 08:36 GMT
by
Sylwester Majewski
Regulation
Hong Kong’s SFC Warns Against Fake NFA-Regulated FX Broker
HKJHFX operates in Hong Kong but falsely claims to be regulated by the US National Futures Association (NFA).
Thursday, 13/12/2018 | 15:34 GMT
by
Aziz Abdel-Qader
Brokers
IG Group Gets US Regulatory Approval
The firm's Chicago office should start operations in the next couple of months
Tuesday, 16/10/2018 | 08:25 GMT
by
David Kimberley
Regulation
NFA Hikes Margin Requirements for Turkish Lira and South African Rand
The move requires investors to put a 12 percent margin of their trades on the Lira and seven percent of bets in the rand.
Thursday, 20/09/2018 | 20:53 GMT
by
Aziz Abdel-Qader
Regulation
NFA Fines Global Asset Advisors $235,000 for Supervisory Breach
While NFA’s ban was into effect, Global Asset Advisors permitted an account to be opened for the trader's wife.
Monday, 17/09/2018 | 21:31 GMT
by
Aziz Abdel-Qader
Regulation
NFA Announces Set of New Disclosure Requirements for Virtual Currencies
The new requirements are effective from October 31, 2018, and apply to all members who engage in virtual currency activities.
Thursday, 09/08/2018 | 17:15 GMT
by
Celeste Skinner
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Regulation
NFA to Develop Required Testing for Swaps Traders
The proficiency requirements program is unlikely to be ready before early 2020
Wednesday, 06/06/2018 | 09:14 GMT
by
David Kimberley
Regulation
NFA Fines X-Change Financial Access $100,000
The firm was founded to have helped Jonathan Hansen execute trades despite a trading ban issued against him
Wednesday, 30/05/2018 | 07:15 GMT
by
David Kimberley
Regulation
National Futures Association Issues AML Warning to FCMs and IBs
NFA requires an independent testing of the adequacy of FCM’s and IB’s compliance program at least once every 12 months
Tuesday, 22/05/2018 | 22:33 GMT
by
Aziz Abdel-Qader
Regulation
NFA Announces Effective Date for Amended Rules of Trade Costs Disclosure
The recent amendments will take effect on April 5, 2018.
Thursday, 11/01/2018 | 18:43 GMT
by
Aziz Abdel-Qader
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