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Regulation
American Regulatory Overreach? ILQ Stands Up to the NFA
Two former employees of the NFA now at ILQ, accuse the agency of trying to use them as scapegoats as NFA Associate General Counsel said: "you should receive $50,000 bonuses for taking the bullet on this."
Thursday, 20/02/2014 | 17:00 GMT
by
Avi Mizrahi
Regulation
NFA Announces Additional FOREX Reporting Requirements for FDMs
In part of the NFA’s initiative to improve is monitoring of member risk, the regulatory body has announced additional reporting requirements for FDMs, which will include identifying new products and funding types.
Thursday, 13/02/2014 | 12:11 GMT
by
Ron Finberg
Regulation
Alpari US Fined $50,000 by NFA for Insufficient Compliance with Fortress
Failure to submit complete trade reports to the NFA's Forex Transaction Reporting Execution Surveillance System and failure to maintain required trade records, cost the former US retail broker $50,000.
Thursday, 30/01/2014 | 11:38 GMT
by
Avi Mizrahi
Brokers
ILQ Cans Hedging as NFA Files Complaint Against Firm for Failure to Co-Operate
ILQ has issued a notice to its client base removing the 'hedging' facility that it had previously provided, subsequent to a complaint by the NFA which levels allegations at the company's method of operation.
Wednesday, 29/01/2014 | 14:47 GMT
by
Andrew Saks McLeod
Regulation
US Considers Stringent Capital Adequacy Requirement for CPOs & CTAs
Following in the footsteps of the FX industry's regulations on net capital adequacy, US financial regulatory authorities are investigating the possibility of implementing a net capital requirement on CPOs and CTAs
Thursday, 23/01/2014 | 18:25 GMT
by
Andrew Saks McLeod
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
Regulation
NFA Reminds Members of New Year's Day Holiday Related Reporting and 2014 Schedule
The independent self-regulatory organization of the U.S. Futures, Commodities, Derivatives and Foreign Exchanges Markets, has issued its latest update to members regarding holiday reporting requirements.
Friday, 27/12/2013 | 12:58 GMT
by
Steven Hatzakis
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Regulation
More Misappropriation Found by NFA as R2 Capital Gets Served MRA
The NFA has announced that it is taking emergency action against R2 Capital Group LLC. A CPO, R2 Capital recently became an NFA Member in September and is accused of misappropriating $1.2 million.
Tuesday, 24/12/2013 | 11:29 GMT
by
Ron Finberg
Brokers
NFA Puts PAMMs into Focus with New Proposals
In a proposal submitted by the NFA to the CFTC, PAMM accounts in the US are under focus. If applied, new actions and reporting by brokers and money managers will be required to be maintained.
Sunday, 15/12/2013 | 14:23 GMT
by
Ron Finberg
Brokers
FCM October Data Shows Uptake in Retail FX Funds
FX brokers regulated under the Commodity Futures Trading Commission have reported their monthly financial data for October. Overall funds were up $10.4 million with 50% of brokers witnessing an increase in Retail Forex funds.
Friday, 13/12/2013 | 23:59 GMT
by
Adil Siddiqui
Regulation
NFA Issues Proposal On Further Account & Client Information To Be Submitted By FX Firms
The NFA has released a proposal aimed at stepping up the amount of reporting that FCMs, FX companies and IBs must submit as part of the mandatory reports, including customer account data and risk management procedure.
Sunday, 08/12/2013 | 11:51 GMT
by
Andrew Saks McLeod
Brokers
A New Business Model? FXDD Becomes Latest Swap Dealer
FXDD has become the latest retail oriented forex broker to become approved as a ‘Swap Firm’ with the NFA. The registration follows similar actions from GAIN Capital and FXCM earlier this year.
Tuesday, 26/11/2013 | 20:15 GMT
by
Ron Finberg
Brokers
NFA Arbitrators Side with FXCM in Twin Cases, Award them $100
FXCM comes out on top yesterday after the NFA ruled in two arbitration claims against the broker. Allegations by claimants of fraud and breach of contract were dismissed, while FXCM was compensated on its counterclaim.
Thursday, 21/11/2013 | 13:51 GMT
by
Ron Finberg
Regulation
CFTC Publishes Final Rules Pertaining to How FCMs and DCOs Hold Customer Funds
The Financial watchdog of the the U.S Commodity Futures and Derivatives markets has published a set of finalized rules - some of which go into effect on January 14, 2014 and referencing others that are already in effect.
Friday, 15/11/2013 | 00:35 GMT
by
Steven Hatzakis
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Regulation
NFA Files Complaint Against Euro Pacific Holdings For Fraud & Deception
The NFA has charged Euro Pacific Holdings and its CEO Alexander Blum with fraudulent business activities, providing false information, conducting FX business with non-Members of NFA, and using a deficient disclosure document.
Saturday, 09/11/2013 | 16:52 GMT
by
Andrew Saks McLeod
Regulation
AlphaMetrix Saga Continues, CFTC Obtains Restraining Order Over Fraud
After falling under the NFA's wrath for failing to pay rebates to fund partners, the CFTC has received a court order against AlphaMetrix Group for its involvement of misappropriation and financial fraud.
Thursday, 07/11/2013 | 09:35 GMT
by
Ron Finberg
Regulation
CFTC Issues $400,000 Penalty For FX Fraud and Misappropriation of Funds
The US Commodity Futures Trading Commission has today announced the citation of three individuals and their associated firms for committing FX fraud and misappropriating customer funds.
Tuesday, 29/10/2013 | 17:53 GMT
by
Andrew Saks McLeod
Regulation
NFA Putting the Squeeze On AlphaMetrix, Forced to Pay $600,000 By November 1st
Following last week’s report that the NFA was removing AlphaMetrix360 as its third party vendor, the regulator has now notified its parent company, AlphaMetrix Group LLC that it has until November 1st to repay $600,000
Tuesday, 22/10/2013 | 09:16 GMT
by
Ron Finberg
Regulation
NFA Issues IBFX With $600,000 Penalty For FX Execution Reporting Inadequacies
Signaling a return to work for the NFA, IBFX has been censured for failing to report trade execution data between 2010 and 2011, a period in which it had applied to withdraw from NFA membership pre-Monex acquisition.
Wednesday, 16/10/2013 | 06:02 GMT
by
Andrew Saks McLeod
Regulation
NFA Ousts AlphaMetrix 360 Due to Financial Woes, Monitoring System in Question
In a letter to FCMs, the NFA announced that it will no longer be using AlphaMetrix360 to collect segregated funds data. This occurs as AlphaMetrix is in the midst of a credit crunch, with its clients funds in question.
Monday, 14/10/2013 | 08:21 GMT
by
Ron Finberg
Regulation
Some Guys Just Can’t Keep Out of Trouble, Tracy Spaeth Arrested
Local Lubbock, Texas news source, Lubbock Online, has reported that Tracy Morgan Spaeth has been arrested this week and charged with “fraudulent sale of more than $100,000 in securities”.
Tuesday, 08/10/2013 | 19:21 GMT
by
Ron Finberg
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Regulation
Effects of US Government Shutdown on FX Industry: CFTC Asks NFA to Update Members
The CFTC is currently operating with limited scope following the governmental shutdown, and has informed NFA to send a message on its behalf to members. Antideficiency Act provides relief for CFTC & SEC Continuity.
Tuesday, 08/10/2013 | 14:10 GMT
by
Steven Hatzakis
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
Regulation
CFTC Issues FXDD With $275,000 Penalty For Violating Capital Adequacy Rules
Regulatory authorities in the United States are becoming notorious for insistance that FX firms maintain sufficient net capital. Today, the CFTC issued FXDD a $275,000 penalty for contravening such rules.
Monday, 30/09/2013 | 20:20 GMT
by
Andrew Saks McLeod
Brokers
Exclusive: ILQ Acquires Velocity Futures
ILQ, a leading institutional FX provider has acquired Velocity Futures, LLC a US based Futures Commission Merchant. Velocity Futures made the announcement in an email to its clients.
Saturday, 28/09/2013 | 20:30 GMT
by
Adil Siddiqui
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