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Regulation

Cowen Completes CAT Go-Live on n-Tier Compliance Workbench

  • n-Tier’s platform gives Cowen comprehensive validation of its reporting data.
Thursday, 23/07/2020 | 04:02 GMT by Celeste Skinner
Exchanges

SIX SFTR Reporting Services Go Live, Aligning with Introduction

  • The regulation burden created by SFTR will be particularly felt by small and mid-sized institutions.
Tuesday, 14/07/2020 | 02:02 GMT by Celeste Skinner
Analysis

Are Regulatory Changes on the Horizon for Saint Vincent & the Grenadines?

  • Rumours have been swirling that the offshore jurisdiction will soon implement FX regulation.
Wednesday, 08/07/2020 | 08:34 GMT by Celeste Skinner
Analysis

The Future of Offshore: ESMA Threat, Regions to Watch, According to Experts

  • Finance Magnates met with three industry experts to discuss the future of offshore jurisdictions.
Wednesday, 01/07/2020 | 08:44 GMT by Celeste Skinner
Payments

Wirecard UK Resumes eMoney & Payments Services as FCA Lifts Restrictions

  • Following the easing of restrictions, clients can now use their cards as normal.
Tuesday, 30/06/2020 | 05:57 GMT by Celeste Skinner
Regulation

ASIC Bans Former Forex CT Employee Steven Marsh for 3 Years

  • ASIC announced earlier this month that it had cancelled the AFS licence of Forex CT.
Monday, 29/06/2020 | 02:43 GMT by Celeste Skinner
Regulation

The Brokers’ Journey to New Reporting Post Market Participants’ Departures

  • For brokers, the next four months may be paved with obstacles while trying to find a new reporting home
Sunday, 28/06/2020 | 09:38 GMT by Ronen Kertis
Retail FX

The Future of Offshore Jurisdictions: Join Us for a Free, Live Webinar

  • Jim Manczak, Tal Itzhak Ron, Graeme Watkins, will speak on the future of offshore jurisdictions on the 30th of June.
Friday, 26/06/2020 | 10:53 GMT by Celeste Skinner
Regulation

FMSB Publishes New Good Practice Statement on Algo Trading

  • Algorithmic trading has increasingly been the subject of regulatory scrutiny and intervention - FICC Markets Standard Board
Friday, 26/06/2020 | 09:59 GMT by Finance Magnates Staff
Payments

Wirecard Believes Missing €1.9B From Balance Sheet Doesn’t Exist

  • The company said it is likely the bank trust account balances in the amount of €1.9b do not exist.
Monday, 22/06/2020 | 06:12 GMT by Celeste Skinner
Regulation

ASIC Issues Guidance on its Product Intervention Powers

  • The guidance comes 10 months after ASIC issued its consultation paper on CFD restrictions.
Wednesday, 17/06/2020 | 06:30 GMT by Celeste Skinner
Regulation

ASIC to Publish Guidance on Product Intervention Measures in June

  • In its revised timetable of ongoing work, ASIC said further guidance will be published this month.
Thursday, 11/06/2020 | 00:51 GMT by Celeste Skinner
Analysis

What will Regulation Look Like Post COVID-19?

  • How will regulation be influenced by this unprecedented event?
Wednesday, 10/06/2020 | 12:09 GMT by Celeste Skinner
Brokers

ASIC Cancels AFS Licence of OTC Derivatives Issuer Forex CT

  • ASIC found that the company’s business model disregarded key obligations of an AFS licensee.
Friday, 05/06/2020 | 06:05 GMT by Celeste Skinner
Regulation

FCA Issues COVID-19 Response and 2020 Expectations

  • On Thursday, the regulator said has two main priorities - operational and financial resilience.
Friday, 05/06/2020 | 05:40 GMT by Celeste Skinner
Analysis

Will The Bahamas Remain an Attractive Jurisdiction Post Leverage Caps?

  • What will be the after-effects of the new regulations?
Wednesday, 03/06/2020 | 09:39 GMT by Celeste Skinner
Regulation

ASIC Cancels AFS License of Australian Golden Securities

  • The cancellation is effective from the 21st of May 2020.
Monday, 01/06/2020 | 03:02 GMT by Celeste Skinner
Regulation

Breaking: SC of The Bahamas to Implement Massive Regulatory Changes

  • The regulator will ban binary options, implement leverage restrictions and more.
Friday, 29/05/2020 | 07:30 GMT by Celeste Skinner
Regulation

ASIC Suspends AFSL of Forex Plus for Six Months

  • According to ASIC, the company hadn’t been providing financial services for some time.
Thursday, 28/05/2020 | 06:39 GMT by Celeste Skinner
Regulation

Canadian Regulators Relax Filing Deadlines Amid COVID-19

  • The temporary relief is for investment funds and non-investment fund issuers.
Thursday, 21/05/2020 | 06:41 GMT by Celeste Skinner
Regulation

European Regulators Remove Temporary Short-Selling Bans

  • The measures will expire on the 18th or 19th of May 2020.
Monday, 18/05/2020 | 09:43 GMT by Celeste Skinner
Brokers

Exclusive: Pepperstone Responds to Brazil’s CVM Stop Order

  • The broker said that it is not licensed in Brazil and does not purport to be.
Thursday, 14/05/2020 | 08:08 GMT by Celeste Skinner
Regulation

Part Two: Must-Know Trends in Regulation for New Decade

  • Everything from ESMA to Brexit to Reporting: Real Hands-on Best Practice.
Tuesday, 12/05/2020 | 08:15 GMT by Quinn Perrott
Institutional FX

Turkish Regulator Lifts Lira Trading Ban with UBS, Citi, BNP

  • The three banks have now fulfilled their obligations in a reasonable time frame - BDDK
Monday, 11/05/2020 | 11:22 GMT by Finance Magnates Staff
Regulation

Part One: Must-Know Trends in Regulation for New Decade

  • Everything from ESMA to Brexit to Reporting: Real Hands-on Best Practice.
Monday, 11/05/2020 | 06:25 GMT by Quinn Perrott
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