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Regulation

CySEC Continues Drive Towards Self-Regulation of Firms

  • CySEC issues criteria for firms to qualify as 'significant' CIFs through a regime of self-assessment.
Wednesday, 26/07/2017 | 15:20 GMT by Colin Firth
Regulation

ECB Leaves No One Behind, FX Global Code is Now Mandatory

  • The European Central Bank joins other major banks in requiring forex trading entities to commit to the new framework.
Wednesday, 26/07/2017 | 14:51 GMT by Finance Magnates Staff
Regulation

FCA Calls for Individual Responsibility with New Proposal for Regulated Firms

  • FCA proposes to make its certification regime mandatory for all regulated firms.
Wednesday, 26/07/2017 | 11:39 GMT by Colin Firth
Regulation

FMA Warns Against Huang Investments’ Illegal Conduct

  • The New Zealand regulator joins the SFC in warning against the dubious firm.
Wednesday, 26/07/2017 | 08:31 GMT by Finance Magnates Staff
Regulation

Wells Fargo Accidentally Leaks Wealthiest Clients’ Sensitive Data

  • 50,000 wealthy clients' names, social security numbers, and other data delivered to third party by mistake.
Tuesday, 25/07/2017 | 18:14 GMT by Finance Magnates Staff
Regulation

CONSOB Alerts Traders Regarding 19 Untrustworthy Brokerages

  • The Italian broker focuses both on copycat brokers and unauthorized companies, based on other regulators’ warnings.
Monday, 24/07/2017 | 12:50 GMT by Finance Magnates Staff
Regulation

CNMV Issues Warnings Against GSI Markets, Top4fx.com

  • The online trading companies have been operating in Spain without being authorized first.
Monday, 24/07/2017 | 09:46 GMT by Finance Magnates Staff
Regulation

Two Whistleblowers Earn Record $61m from JPMorgan Tip

  • JPMorgan's failure to properly disclose investment commissions has resulted in a $307m fine to the SEC and CFTC.
Friday, 21/07/2017 | 06:40 GMT by Jeff Patterson
Regulation

CySEC Revokes €50,000 Fine of CommexFX Executive

  • The Cypriot regulator has also lifted the five-year ban that it applied on June 8, 2017.
Thursday, 20/07/2017 | 18:58 GMT by Finance Magnates Staff
Regulation

SFC, FCA Ink Memorandum of Understanding

  • The two regulatory authorities will collaborate to better regulate financial entities.
Thursday, 20/07/2017 | 16:59 GMT by Finance Magnates Staff
Regulation

ASIC Warns against 72Option and London Capital Group Clone

  • The Australian regulator added the online trading companies as they were operating in Australia without a license.
Thursday, 20/07/2017 | 11:26 GMT by Finance Magnates Staff
Regulation

Romania Arrests Three for Stealing Client Information from Cypriot Brokerage

  • 9,000 contacts were compromised in a scheme to sell stolen client information to the highest bidder.
Thursday, 20/07/2017 | 11:23 GMT by Jeff Patterson
Regulation

Deutsche Börse CEO’s Trading Probe Continues Despite $12m Settlement

  • BaFin has opened its own investigation into Deutsche Börse potentially misleading the public.
Thursday, 20/07/2017 | 10:16 GMT by Jeff Patterson
Regulation

ASIC Looks to Gain Access to Communications, Data in Fight to Police Markets

  • A taskforce feels that ASIC requires broader access to telecommunications to combat fraud and market abuse.
Thursday, 20/07/2017 | 07:59 GMT by Jeff Patterson
Regulation

FINRA Fines Goldman Sachs $2.5 Million for Incomplete Reporting

  • The bank did not account for numerous conventional options positions between January 2010 and July 2016.
Wednesday, 19/07/2017 | 11:11 GMT by Finance Magnates Staff
Execution

SIX Targets Regulatory Data Flows with New Launch Rollout Ahead of MiFID II

  • The platform will improve data and information flows between wealth and asset managers, banks, and others.
Wednesday, 19/07/2017 | 09:07 GMT by Jeff Patterson
Regulation

CONSOB Issues Warning against B4 Markets

  • The Italian regulatory authority alerts local traders that this company is running an unauthorized operation.
Tuesday, 18/07/2017 | 16:37 GMT by Finance Magnates Staff
Regulation

FXCM Draws Lawsuit from Retired Teacher over $460k in Cancelled Trades

  • Was Daniela Shurbanova a front for her banned husband?
Tuesday, 18/07/2017 | 15:15 GMT by Jeff Patterson
Regulation

Bats Europe Rolls Out Latest Software Update Ahead of MiFID II Implementation

  • Bats Europe's latest update focuses on a number of transparency requirements.
Tuesday, 18/07/2017 | 14:10 GMT by Jeff Patterson
Brokers

IG Group Dispels Regulatory Concerns, Plans MTF Launch in EU 

  • CEO criticized aggressive marketing practices in the industry including bonuses that forced the regulatory crackdown.
Tuesday, 18/07/2017 | 07:50 GMT by Victor Golovtchenko
Regulation

FCA Warns against Unauthorized GSI Markets

  • The British regulator strongly advises against trading with this broker, as it may be a scam.
Monday, 17/07/2017 | 18:12 GMT by Finance Magnates Staff
Brokers

Invast Endorses FX Global Code of Conduct, Hosting Industry Summit

  • The exclusive event will feature 50 leading executives from around the industry, including special guest Guy Debelle.
Monday, 17/07/2017 | 11:08 GMT by Jeff Patterson
Regulation

FCA Announces Upcoming Retail Trading Platform Market Study

  • The British regulatory authority plans on determining which brokers offer traders the most favorable conditions.
Monday, 17/07/2017 | 09:58 GMT by Finance Magnates Staff
Regulation

UK’s FX ‘Cartel’ to Stand Trial in US – Bail Set at Upwards of $1M

  • Richard Usher (JPMorgan) Rohan Ramchandani (Citigroup), and Chris Ashton (Barclays) will stand trial today.
Monday, 17/07/2017 | 09:41 GMT by Jeff Patterson
Regulation

Best Stories of the Week: Poland Caps Leverage, MetaQuotes Closes the Window for XP

  • German CFD market continues to grow, MetaQuotes to stop supporting older versions of Windows.
Sunday, 16/07/2017 | 11:23 GMT by Finance Magnates Staff
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