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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
Brokers

CySEC Outlines Investor Compensation Scheme for CommexFX Clients

  • CommexFX clients have been given detailed instructions on how to apply to the Investor Compensation Fund.
Monday, 15/05/2017 | 09:12 GMT by Jeff Patterson
Brokers

Financial Commission Approves FXB Trading as Latest Member Firm

  • FXB Trading is the latest approved member firm, gaining access to streamlined resolution capabilities.
Friday, 12/05/2017 | 05:40 GMT by Jeff Patterson
Regulation

Will Pope Francis Soon Warn the Vatican about the Risks of Binary Options?

  • The MFSA and the Financial Information Authority of The Holy See and Vatican City State sign a memorandum of understanding.
Thursday, 11/05/2017 | 20:12 GMT by Finance Magnates Staff
Regulation

FIA Unveils White Paper Recommending Changes to US Derivatives Framework

  • The white paper is the latest effort from the FIA to explore a range of derivatives reforms in the US.
Thursday, 11/05/2017 | 17:44 GMT by Jeff Patterson
Regulation

SFC Warns Against Unregistered Chinese Financial Advisory Company

  • Ocean Star Capitals is in trouble due to its running of an unlicensed operation.
Thursday, 11/05/2017 | 11:07 GMT by Finance Magnates Staff
Brokers

Russia Prepares Steps to Forbid Unregulated Brokers from Operating

  • The Federal Anti-monopoly Service says that brokers that wish to operate in Russia will have to be regulated.
Wednesday, 10/05/2017 | 15:38 GMT by Victor Golovtchenko
Regulation

Australian Regulator Declares Ban on Five Brokers

  • The Australian Securities and Investments Commission issues new warnings against binary options companies.
Wednesday, 10/05/2017 | 11:57 GMT by Finance Magnates Staff
Regulation

Canadian Regulator Warns Against More Unregistered Brokers

  • TorOption and Binary Brokerz join the BCSC’s growing Warning List.
Wednesday, 10/05/2017 | 09:59 GMT by Finance Magnates Staff
Regulation

CONSOB Continues Fighting Against Binary Options

  • The Italian Regulator adds Up4X and ACG to its Broker Blacklist.
Tuesday, 09/05/2017 | 12:56 GMT by Finance Magnates Staff
Blogs

A Trader's Perspective on the Changes in FX and CFD Regulation

  • The slow process of updating regulations means that a company can exploit a loophole for years before it is addressed.
Tuesday, 09/05/2017 | 09:41 GMT by Guest Contributors
Execution

ICE Links Up with UK Data Center, Improving Time Precision Ahead of MiFID II

  • ICE will link up with the UK's NPL to achieve up to 100-microsecond level traceability of trading events.
Tuesday, 09/05/2017 | 06:56 GMT by Jeff Patterson
Brokers

CMC Markets, IG Group, Plus500 Endorse BaFin’s New Protection Requirements

  • CMC Markets and IG are already prepared for BaFin's upcoming requirements of negative balance protection.
Tuesday, 09/05/2017 | 06:22 GMT by Jeff Patterson
Regulation

European Commission Preparing to Reduce Some EMIR Obligations

  • The European Commission is starting a review process on EMIR obligations for small financial companies.
Thursday, 04/05/2017 | 17:58 GMT by Victor Golovtchenko
Regulation

CFTC Cracks Down on Arizona Racket After $13m Commodities Pool Scheme

  • The regulator halted Williams Advisory Group's commodities pool scheme after it defrauding 40 investors.
Thursday, 04/05/2017 | 06:16 GMT by Jeff Patterson
Regulation

US Regulator CFTC Asks for Public Input on Rule Simplification

  • CFTC's effort is not a regulatory overhaul, but an efficiency and cost reduction effort.
Thursday, 04/05/2017 | 05:09 GMT by Victor Golovtchenko
Prime Brokerage

Credit Suisse Deploys Robots to Answer Compliance Questions

  • Swiss banking giant Credit Suisse is using a brand new approach to tackle regulatory burdens
Tuesday, 02/05/2017 | 19:20 GMT by Victor Golovtchenko
Prime Brokerage

Morgan Stanley Cutting ETF, Stock Commission Costs Ahead of US Regulations

  • Morgan Stanley is joining its peers in the wealth management industry in slashing commissions.
Tuesday, 02/05/2017 | 08:56 GMT by Jeff Patterson
Bloggers

How Secure is Your Data?

  • Data security is a paramount concern at brokerages as cyber threats have grown in complexity.
Monday, 01/05/2017 | 13:27 GMT by Guest Contributors Fintech
Brokers

Rakuten Securities Garners Capital Markets License in Malaysia

  • Rakuten Securities was granted regulatory approval to provide financial services in Malaysia.
Monday, 01/05/2017 | 07:40 GMT by Jeff Patterson
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