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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
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
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