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Regulation

TigerWit Obtains Broker Dealer License in the Bahamas

  • The Securities Commission of the Bahamas has a $300,000 capital requirement for market makers.
Tuesday, 29/08/2017 | 09:19 GMT by Victor Golovtchenko
Regulation

Trax Gains APA Authorization for its MiFID II Solutions Suite

  • Today's FCA authorization opens up new opportunities for Trax's offering as MiFID II looms.
Friday, 25/08/2017 | 12:35 GMT by Jeff Patterson
Regulation

NEX Regulatory Reporting Garners FCA Approval as APA Ahead of MiFID II

  • APA authorization will enable the provision of an upgraded MiFID II services suite.
Friday, 25/08/2017 | 09:03 GMT by Jeff Patterson
Regulation

SFC Issues Warning Against FHSG Capital Investments

  • The firm has been caught red handed soliciting and offering clients financial services despite being unauthorized.
Thursday, 24/08/2017 | 08:04 GMT by Finance Magnates Staff
Regulation

FCA Alerts Traders to FXCM Clone Company

  • The brokerage’s imitator claims offices in China, unlike the actual broker's address in the UK.
Tuesday, 22/08/2017 | 16:00 GMT by Finance Magnates Staff
Retail FX

FCA Warns Against Active Funds ICAV Copycat Brokerage

  • The British Financial watchdog has alerted traders that this online trading company may be running a scam operation.
Tuesday, 22/08/2017 | 13:09 GMT by Finance Magnates Staff
News

Australian Senators Launch Joint Blockchain Group

  • Blockchain's clout is growing in Australia, now boosted by bipartisan support.
Tuesday, 22/08/2017 | 11:01 GMT by Jeff Patterson
Prime Brokerage

Countdown to January: the Double-Edged Sword of MiFID II

  • Increased transparency and new regulations could come at a cost.
Tuesday, 22/08/2017 | 09:43 GMT by Jeff Patterson
Regulation

Japanese Kanto Local Finance Bureau Issues Warning against At.Dear

  • The Japanese regulator states that the unlicensed brokerage has been soliciting local clients.
Monday, 21/08/2017 | 13:19 GMT by Finance Magnates Staff
Regulation

ASIC Warns against 10 Unlicensed Firms

  • The Australian regulatory authority has alerted the local trading community that these firms could be scams.
Monday, 21/08/2017 | 12:06 GMT by Finance Magnates Staff
Regulation

Will Encrypted Social Apps Signal a New Era in Insider Trading Schemes?

  • White-collar criminals are using new mediums such as encrypted social apps to mask sensitive data sharing.
Monday, 21/08/2017 | 08:50 GMT by Jeff Patterson
Regulation

FSMA Warns Against Six New Boiler Room Scams Targeting Belgian Investors

  • Six new boiler rooms have been brought to light by the Belgian regulator.
Friday, 18/08/2017 | 10:09 GMT by Jeff Patterson
Regulation

Deutsche Börse Probe Expanding to Include Management

  • CEO Carsten Kengeter is no longer the only member of the group's senior management under investigation.
Thursday, 17/08/2017 | 10:25 GMT by Jeff Patterson
Regulation

CLS Backs FX Global Code, Launching Public Register for Settlement Members

  • CLS has issued a declaration of support for the code, with a new register disclosing settlement members' support.
Wednesday, 16/08/2017 | 10:27 GMT by Jeff Patterson
News

Italian Anti-Trust Body Fines OneCoin Promoters €2.6 Million

  • The Italian Competition Authority’s investigation found the OneCoin promoters guilty of making unrealistic promises.
Tuesday, 15/08/2017 | 12:50 GMT by Finance Magnates Staff
Blogs

Senior Managers Regime Compliance Could Usher in a New Era of Joint Working

  • The new SMR seeks to strengthen personal accountability in financial institutions.
Monday, 14/08/2017 | 19:59 GMT by Guest Contributors Institutional
Regulation

Analysis: What Impact Will MiFID II Have on Data Management?

  • What does MiFID II mean for data management and disclosures for investment firms?
Thursday, 10/08/2017 | 10:02 GMT by Jeff Patterson
Execution

NEX Optimisation Undergoes Network Upgrade for Harmony Ahead of MIFID II

  • The upgrade will strengthen transparency measures surrounding Traiana's Harmony messaging network.
Tuesday, 08/08/2017 | 10:51 GMT by Jeff Patterson
Executive Moves

Christopher Giancarlo Confirmed as Chairman of CFTC

  • The US Senate has unanimously confirmed Christopher Giancarlo, Brian Quintenz, and Rostin Behnam.
Friday, 04/08/2017 | 12:51 GMT by Jeff Patterson
Brokers

Exclusive: Acenya Capital Limited Relaunches via Partnership with MEX Europe

  • Acenya Capital is reopening its doors after signing a new white label partnership agreement.
Wednesday, 02/08/2017 | 06:26 GMT by Victor Golovtchenko
Brokers

USGFX CEO Talks Recent Hostage Crisis in China, ASIC Regulations

  • Shay Zakhaim gives his take and timeline on an unprecedented situation in the FX industry.
Tuesday, 01/08/2017 | 11:01 GMT by Jeff Patterson
Executive Moves

Coinbase Adds DoJ Prosecutor and Crypto Specialist Kathryn Haun to Board

  • Haun is a seasoned DoJ veteran, having served an integral role behind the investigation into the Silk Road.
Friday, 28/07/2017 | 09:51 GMT by Jeff Patterson
Regulation

FCA Warns Against AMC Capital Invest Clone Company

  • The FCA warns the copycat company might be running a scam operation.
Thursday, 27/07/2017 | 15:23 GMT by Finance Magnates Staff
Regulation

CFTC Fines New York Resident $635,000 for Commodity Futures Scam

  • Simon Posen, who ran the operation on his own, has been banned from trading in CFTC regulated markets.
Thursday, 27/07/2017 | 11:04 GMT by Finance Magnates Staff
Blogs

Regtech Can Help Stop the New Regulations Blame Game Forever

  • It's impossible to predict which parts of the legislation will become major pain points until it's implemented.
Wednesday, 26/07/2017 | 16:24 GMT by Guest Contributors Institutional
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