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Regulation

Trax Launches Accord with Bats Europe, Enabling MiFID II Equities Reporting

  • Trax and Bats Europe have developed a unified connection for equities trade reporting in compliance with MiFID II.
Friday, 16/06/2017 | 06:36 GMT by Jeff Patterson
Regulation

ASIC Names Campbell Investments Limited Possible Scam

  • The Australian regulator has issued a warning against this firm’s illegal operation.
Wednesday, 14/06/2017 | 11:31 GMT by Finance Magnates Staff
Execution

FX Connect, Currenex Platforms Garner FCA Approval to Operate as MTFs

  • FX Connect and Currenex will operate as MTFs within the jurisdiction of MiFID II.
Wednesday, 14/06/2017 | 09:18 GMT by Jeff Patterson
Regulation

ResearchPool Rolls Out MiFID-Dedicated Research Tool, TRUE

  • TRUE will help firms better manage and control their research spending and usage of investment strategies.
Tuesday, 13/06/2017 | 16:26 GMT by Jeff Patterson
Regulation

SFC Bans Former HSBC Trader Li Bo For Eight Months

  • An SFC investigation found that Li breached its Code of Conduct, failing to properly disclose trading transactions.
Tuesday, 13/06/2017 | 11:16 GMT by Jeff Patterson
Regulation

SFC Clamps Down on IDS Forex HK Limited, Halting All Operations

  • The regulator has taken action after an investigation uncovered evidence of illegal fund-raising in South Korea.
Monday, 12/06/2017 | 14:04 GMT by Jeff Patterson
Prime Brokerage

US Treasury Officials Considering Banking Regulations Revamp

  • The Wall Street Journal reports that Donald Trump’s administration is preparing for action on banking regulation.
Monday, 12/06/2017 | 09:13 GMT by Victor Golovtchenko
Blogs

Revisiting France's FX, Binary Options Regulations, Will Others Follow?

  • Should other countries force brokers to implement guaranteed stop loss and negative balance protection requirements?
Monday, 12/06/2017 | 08:29 GMT by Guest Contributors
Regulation

FMA Alerts Traders about International Financial Trade's Illegal Operation

  • The Austrian regulator has issued a warning against the brokerage for working without a license.
Thursday, 08/06/2017 | 11:04 GMT by Finance Magnates Staff
Brokers

Breaking: Apple Bans Binary Options Apps from App Store

  • Apple has updated its developer guidelines to explicitly add a binary options exception to the App Store.
Thursday, 08/06/2017 | 10:25 GMT by Victor Golovtchenko
Crowd Funding

ESMA Shows Support for Fintech, Lays Down the Law for Future Framework

  • The European Securities and Markets Authority responded with regulatory guidelines to the fintech consultation paper.
Thursday, 08/06/2017 | 07:05 GMT by Finance Magnates Staff
Regulation

Belgium’s FSMA Warns Against Six New Boiler Room Scams

  • Six new boiler room scams have been added to the FSMA's warning list of unauthorized service providers.
Wednesday, 07/06/2017 | 13:45 GMT by Jeff Patterson
Regulation

Singapore Offers New Legal Framework for Robo-Advisory

  • The MAS has released new potential guidelines for digital advice services.
Wednesday, 07/06/2017 | 08:31 GMT by Finance Magnates Staff
Data

Duco’s Revenues Trend Higher on Core Product Segments, Regulatory Changes

  • Duco Cube helped fuel the group's business in 2016, with shifting regulations and an emphasis on SaaS driving revenues.
Tuesday, 06/06/2017 | 18:10 GMT by Jeff Patterson
Regulation

Austria’s FMA Stepping Up Defense Against FX, CFD Scams

  • Improved warnings systems and education against scams has helped the public become more aware.
Tuesday, 06/06/2017 | 15:00 GMT by Jeff Patterson
Regulation

ASIC Issues Warning Against Estonian MT4 Brokerage Trade12

  • The Australian financial watchdog has alerted local traders of Trade12, after it offered financial services unauthorized.
Tuesday, 06/06/2017 | 07:56 GMT by Finance Magnates Staff
Regulation

CNMV Issues Warnings against Two Unauthorized Brokerages

  • The Spanish financial watchdog has released statements alerting traders of Wing Pegasus S.L. and D. Ricardo Cáscales Monge.
Monday, 05/06/2017 | 12:58 GMT by Finance Magnates Staff
Regulation

ASIC Bans Responsible Executive at State One Stockbroking Limited

  • The Australian financial watchdog has decided to bar Mr. Nofal after he did not follow regulatory rules with clients.
Monday, 05/06/2017 | 09:31 GMT by Finance Magnates Staff
Regulation

BCSC Warns against Three Brokerages for Illegal Activity

  • The Canadian financial watchdog has added three more online trading companies to its blacklist.
Sunday, 04/06/2017 | 12:37 GMT by Finance Magnates Staff
Regulation

Ex-Deutsche Bank Trader Pleads Guilty to Metals Spoofing, Wire Fraud

  • Liew has plead guilty to US authorities, though his testimony cites collaboration with other Deutsche Bank traders.
Friday, 02/06/2017 | 17:22 GMT by Jeff Patterson
Blogs

Data Attacks, Ransomware, and the Impact on the Financial Sector

  • The world of cybercrime is also growing and increasing in line with the opportunities it creates.
Friday, 02/06/2017 | 14:30 GMT by Guest Contributors
Regulation

IFSC Issues Warnings against Two Brokerages for Illegal Operations

  • The Belizean regulator claims the financial companies are approaching clients without having the appropriate licenses.
Tuesday, 30/05/2017 | 10:12 GMT by Finance Magnates Staff
Regulation

Saxo Bank to Introduce New Solutions for IBs After MiFID II Implementation

  • The Danish broker plans new solutions for IBs as it awaits the changes of MiFID II.
Monday, 29/05/2017 | 16:42 GMT by Finance Magnates Staff
Regulation

CONSOB Issues Warnings against Five New Online Trading Brokerages

  • The Italian regulator alerted the public regarding the illegal activities of several different brands.
Monday, 29/05/2017 | 12:51 GMT by Finance Magnates Staff
Regulation

FSC Warns Against VTB Trade over Forged License

  • The regulator from Mauritius states that the broker is falsely claiming registration.
Monday, 29/05/2017 | 11:08 GMT by Finance Magnates Staff
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