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Regulation
Europe's Economic Crossroads: Recession Fears and S&P Global's
Education Center
Will Blockchain Technology Mark a Turning Point in Fraud
Education Center
7 Things We Wish Someone Had Told Us Before We Started Trading
Education Center
Nexo Enhances Data Security Credentials With SOC 3 Assessment
Thought Leadership
Europe's Economic Crossroads: Recession Fears and S&P Global's
Education Center
Will Blockchain Technology Mark a Turning Point in Fraud
Education Center
7 Things We Wish Someone Had Told Us Before We Started Trading
Education Center
Nexo Enhances Data Security Credentials With SOC 3 Assessment
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Payments
FTC's Scrutiny on Surveillance Pricing: A Step Towards Consumer Protection
2024-07-23T17:58:32.948+02:00
Potential price discrimination by Mastercard and Chase prompts FTC inquiry.
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Regulation
This $2.57 Billion Super Fund Comes under Pressure from Major Regulator
2024-07-15T09:23:58.446+02:00
APRA imposes new licence conditions on Fiducian's superannuation trustee due to data accuracy concerns.
The company must undergo an expert review and implement a remediation plan.
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Retail FX
Is Your FX/CFD Brokerage ASIC-Approved? Regulator Demands Record Clean-Up
2024-07-01T10:58:14.266+02:00
The market watchdog urges AFS licensees to correct errors in financial adviser records.
The regulator considers enforcement action for non-compliance.
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Retail FX
Australian Watchdog Steps Up Oversight of Financial Advisers and Traders
2024-06-26T08:02:08.401+02:00
ASIC announces new reporting rules for financial advisers using the experienced provider pathway.
The regulator also calls on market intermediaries to strengthen the supervision of communication.
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CryptoCurrency
In Its De Facto War on Crypto, Regulatory Rulemaking Isn't the SEC's Priority
2024-06-06T16:43:15.339+02:00
The SEC under Gary Gensler has focused on enforcement actions.
US crypto regulation lags behind the EU, UK and Singapore.
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Retail FX
ECB Sounds the Alarm on AI in Finance: Regulation Needed
2024-05-16T09:56:14.263+02:00
The central bank has called for close monitoring of AI in financial services.
It emphasized the need to address potential market failures and associated risks.
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Retail FX
UK Chancellor Jeremy Hunt Clashes with FCA over Controversial “Name and Shame” Policy
2024-05-01T12:29:23.922+02:00
He joins the voices arguing that the FCA's plan could hinder economic growth.
The debate underscores the increasing tension between the government and the regulator.
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FM Home
FMAS:24 Session Spotlight - Regulation, Trust, and The Future of Trading in Africa
2024-04-30T13:18:39.814+02:00
Join policymakers, legal experts, industry participants, and more in Sandton City
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Retail FX
Cheetah Fund Investors Lose $9 Million in Alleged Fraudulent Scheme
2024-04-25T10:09:10.356+02:00
Craig Allen could have misappropriated at least $2.64 million from the fund and its investors.
The Commission seeks penalties and a bar against his participation in the securities market.
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Retail FX
Even Ministers Believe FCA's "Name and Shame" Policy Will Harm the City of London
2024-04-24T10:28:16.827+02:00
Critics from the private and public sectors argue that the move could unfairly damage reputations.
Specifically, the FCA's investigations last an average of 4 years, and 65% conclude end without any resulting action.
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Retail FX
This Company Sidesteps £50 Million Fine, as FCA Wants to Compensate More Investors
2024-04-11T11:15:36.398+02:00
The regulator finds Link Fund Solutions mismanaged Woodford Equity Income Fund.
However, it will not impose a multimillion-pound fine to give more money back to investors.
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Retail FX
CySEC Bans Broker Directors for 2 Years
2024-04-10T11:20:29.250+02:00
Bugayenko and Dotsa are prohibited from exercising CIF’s management duties.
The regulator suspended the shareholder rights of Veles International's sole owner.
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Retail FX
H2C Securities Agrees to Pay $250,000 Fine in FINRA Settlement
2024-04-01T09:45:34.653+02:00
The company was fined for failing to preserve and review over 1.25 million messages.
The regulatory rule-breaking proceedings lasted from 2013 to 2021.
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CryptoCurrency
EU Crypto Regulations Getting Closer: ESMA Publishes Final Report
2024-03-26T11:20:26.550+02:00
The regulator seeks to balance investor protection and innovation in the crypto industry.
ESMA also starts the third public consultation package under MiCA.
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FinTech
The BNPL Regulatory Landscape: A Close Look at NY and Global Developments
2024-01-08T13:57:37.695+02:00
Regulating tomorrow's payments.
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Payments
Legislating Liberty: Florida's Bid for Financial Privacy
2024-01-05T13:03:48.752+02:00
How the Sunshine State doesn't want to turn into the Surveillance State.
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Retail FX
"Cut-and-Paste in Many Different Jurisdictions": Challenges in Retail Trading Regulation
2024-01-01T13:30:37.105+02:00
The panelists at FMLS on 'Retail Trading Regulation in 2024' emphasized the importance of preventing market manipulation and financial crime.
They highlighted the importance of embracing AI wisely, underscoring its impact on market regulation.
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Retail FX
ESMA Targets CFDs Again: Alarm over Misleading Financial Instruments
2023-12-14T12:54:00.987+02:00
According to the regulator, brokers tend to mix CFD and real shares offers.
Moreover, influencers are believed to have too much impact on investment decisions made by retail traders.
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Retail FX
Regulatory Sloth: FCA Sluggish in Adapting to Financial Market Crimes
2023-12-11T12:39:58.196+02:00
The FCA is undergoing major reform to combat financial crime faster.
A National Audit Office report has highlighted the need to effectively manage these changes.
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CryptoCurrency
CFTC Tightens the Cryptocurrency Screw: In FY23, 50% of Cases Were Crypto-Related.
2023-11-08T13:52:45.096+02:00
49% of all regulatory actions concerned the digital assets market.
As part of the whistleblower program, the CFTC paid out $16 million in a year.
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Retail FX
FCA's Big Screen Debut Targets Investment Hype
2023-09-25T16:28:46.538+02:00
The FCA launched a cinema ad campaign to educate the public about the risks of investment hype.
The ad will be shown before the new film ‘Dumb Money’, which explores the GameStop saga.
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CryptoCurrency
BaFin Doubles Crypto Regulatory Activities in 2023, Eyes AI
2023-09-21T10:55:35.228+02:00
The regulator aims to build more trust in the cryptocurrency sector.
On top of that, it wants to leverage the opportunities offered by AI.
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CryptoCurrency
JPEX's Legal Woes Could Signal Trouble for Hong Kong Crypto
2023-09-19T10:50:34.994+02:00
HK authorities have arrested six people linked to an unlicensed cryptocurrency exchange.
The SFC has flagged complaints against JPEX involving more than $127.9 million in losses.
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FM-Events
Innovation vs Regulation: Who Drives the Future of the Payments Landscape?
2023-09-07T11:51:38.205+02:00
Who is in charge of navigating innovation and regulation in the payments sphere?
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Retail FX
No AFS License Needed until 2025: ASIC Extends FFSPs Transitional Relief Again
2023-08-08T07:08:36.055+02:00
The Australian regulator extends the deadline for foreign firms.
The date has been set for 31 March 2025, pushing back the need for an Australian license.
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