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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
Brokers

Japanese Ministry of Finance Issues Warnings Against OptionBit and FBS

  • Unlicensed binary options and foreign exchange trading are forbidden in Japan.
Friday, 26/05/2017 | 14:30 GMT by Victor Golovtchenko
News

AQMetrics Secures Three New Major Financial Clients

  • The regtech entity welcomes new clients from the hedge fund, investment management, and REIT sectors.
Thursday, 25/05/2017 | 14:05 GMT by Finance Magnates Staff
Prime Brokerage

Chinese Regulatory Authorities Take Aim at Brokerage Abuse with Fines

  • Citic Securities, Haitong Securities, and Guosen Securities have all been fined by the Chinese regulator.
Wednesday, 24/05/2017 | 17:58 GMT by Jeff Patterson
Regulation

CFTC Cracks Down on Precious Metals Racket, Guardian Asset Group

  • Andrew Kurzbard and Guardian Asset Group have both been fined over a million USD in penalties for fraud.
Tuesday, 23/05/2017 | 14:57 GMT by Jeff Patterson
Regulation

Institutional Investors Recovered Billions in Antitrust Settlements in 2016

  • FRT research shows record high in actions outside U.S. jurisdictions in 2016.
Tuesday, 23/05/2017 | 08:46 GMT by Finance Magnates Staff
Regulation

Israeli Media: JPMorgan Hack Perpetrator to Pay $403 Million to US Authorities

  • Gary Shalon, who conducted a large-scale scam involving securities, will pay this sum of money in a comprehensive settlement.
Monday, 22/05/2017 | 18:25 GMT by Finance Magnates Staff
Regulation

CNMV Warns against Seven Unregistered Brokers

  • The Spanish regulator issues more warnings after an increase in regulation measures in March.
Monday, 22/05/2017 | 11:07 GMT by Finance Magnates Staff
Regulation

CySEC Execution of MiFID Good Practices Deficient, Determines ESMA

  • ESMA's follow-up MiFID report shows that Cyprus is one of the NCAs that did not address all of its issues.
Monday, 22/05/2017 | 08:27 GMT by Finance Magnates Staff
Regulation

IFSC Warns Against Belize Based Broker Due to Forged License

  • Fixed Star Inlvestment Inc. operates under the false pretense of being regulated by the Belizean financial authority.
Tuesday, 16/05/2017 | 17:22 GMT by Finance Magnates Staff
Regulation

British Regulator Warns Against Copycat Broker

  • The FCA advises caution against London Global Markets for falsely claiming authorization.
Monday, 15/05/2017 | 13:04 GMT by Finance Magnates Staff
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