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Executive Moves

Cappitech On-Boards Ido Pickel in Senior Sales Role

  • Ido Pickel joins Cappitech from BondIT, helping grow the group's regulatory reporting solution.
Tuesday, 07/02/2017 | 11:38 GMT by Jeff Patterson
Analysis

By Repealing Dodd-Frank Trump Could Spark Global Deregulation Race

  • American forex brokers could save $10 million a year in regulatory compliance costs alone without Dodd-Frank.
Monday, 06/02/2017 | 15:47 GMT by Avi Mizrahi
Regulation

Financial Commission Adds X Spot as its Latest Member Firm

  • X Spot International Ltd has joined the FinaCom's diverse membership as its latest recognized FX and CFD provider.
Monday, 06/02/2017 | 15:26 GMT by Jeff Patterson
Regulation

Breaking: CySEC Outsourcing Circular Risks Many CIFs Renouncing Licenses

  • The latest changes from CySEC could force a number of companies to cease their operations as regulated brokers.
Monday, 06/02/2017 | 13:27 GMT by Victor Golovtchenko
Blogs

Black vs. White in Binary

  • Old tricks won’t work anymore and it’s time for companies to come up with an honest agenda.
Friday, 03/02/2017 | 10:19 GMT by Guest Contributors
Analysis

Analysis: Binary Brokers Taking Measures to Filter Toxic Traffic

  • ‘Extreme vetting’ of affiliate traffic might soon be mandatory for regulated binary options brokers.
Wednesday, 01/02/2017 | 15:22 GMT by Victor Golovtchenko
Regulation

Redtail Integrates RIA in a Box to Facilitate Regulatory Compliance Tasks

  • The integration allows shared clients to view and complete tailored regulatory compliance tasks within the Redtail CRM.
Wednesday, 01/02/2017 | 06:37 GMT by Finance Magnates Staff
Executive Moves

SEC Sees Two More Directors Part Ways with Agency

  • Marc Wyatt and Wenchi Hu are both leaving the SEC in February.
Tuesday, 31/01/2017 | 17:01 GMT by Jeff Patterson
Exchanges

NZX’s 2016 Metrics See Rise Across the Board, Boosted by Equities, Capital Raising

  • 2016 was a positive year for the NZX, scoring key gains across key business segments on a YoY basis.
Tuesday, 31/01/2017 | 10:25 GMT by Jeff Patterson
Regulation

Canadian Binary Options Scams Utilize Kevin O’Leary Imagery to Dupe Investors

  • Binary options scammers are using the image of Canadian businessman Kevin O’Leary to legitimize their products.
Monday, 30/01/2017 | 18:39 GMT by Jeff Patterson
Bloggers

Post-PSD2: What Will Banking Look Like?

  • The industry is already beginning to see some of the unintended consequences of regulating banking technology.
Monday, 30/01/2017 | 17:03 GMT by Guest Contributors
Regulation

Financial Markets Regulator CONSOB Warns of Nine Further Brokerages

  • CONSOB's warning list continues to grow amid its ongoing efforts to stamp down on unauthorised activities in Italy.
Monday, 30/01/2017 | 11:51 GMT by Finance Magnates Staff
Regulation

Confluence’s RegTech Solution Selected by Fund Groups Ahead of SEC Legislation

  • New modernization rules from the SEC have created challenges for mutual funds and their back-office systems.
Friday, 27/01/2017 | 15:04 GMT by Jeff Patterson
Regulation

AMF Urging Client Reconciliation with Banc de Binary Following Closure

  • The AMF has provided the requisite details for this correspondence.
Friday, 27/01/2017 | 12:06 GMT by Jeff Patterson
Regulation

Former Rabobank Traders Seek to Have US Libor Convictions Overturned

  • A US court has questioned whether the ex-traders’ rights were violated.
Friday, 27/01/2017 | 07:01 GMT by Finance Magnates Staff
Regulation

CFTC Orders E*TRADE Securities, Clearing to Pay $280K for Supervisory Failures

  • CFTC has levied a joint civil monetary penalty against E*TRADE's subsidiaries.
Thursday, 26/01/2017 | 18:12 GMT by Jeff Patterson
Regulation

Dutch Regulator Exposes Vulnerabilities of ‘Big Brother’ MiFID Surveillance

  • Soros is said to have lost over $1 billion.
Thursday, 26/01/2017 | 16:54 GMT by Victor Golovtchenko
Regulation

SFC Bans Investment Rep for Accepting Unauthorised Order Instructions

  • Ma Yu Lung allowed execution of trades flowing from order instructions in the trading accounts of others at SHKI Services Ltd.
Thursday, 26/01/2017 | 13:54 GMT by Finance Magnates Staff
Regulation

RBS: Multi-Billion Pound Fine for Mis-Selling Imminent

  • The RBS board is due to sign off a massive charge for mis-selling mortgage-backed securities.
Thursday, 26/01/2017 | 07:27 GMT by Finance Magnates Staff
Prime Brokerage

Exclusive Interview: 'Think Liquidity Deal Gets Us Closer to Clients'

  • Managing Partners of IS Prime Jonathan Brewer and Raj Sitlani discuss the latest company and industry developments.
Wednesday, 25/01/2017 | 17:28 GMT by Victor Golovtchenko
Blogs

Bringing Legacy Reporting into Modern Day Operation – What is Driving Change?

  • What encourages firms to make the transition from a manual to automated regulatory process?
Wednesday, 25/01/2017 | 09:32 GMT by Guest Contributors Institutional
Regulation

Polish Regulator Adds GKFX to Warning List

  • The UK subsidiary of the broker has been included on the warning list of the KNF.
Tuesday, 24/01/2017 | 13:37 GMT by Victor Golovtchenko
Regulation

ASIC Consults on Consolidation of ASIC Market Integrity Rules

  • The Australian regulator is proposing the streamlining of its rule books in order to clarify regulations and reduce red tape.
Tuesday, 24/01/2017 | 11:55 GMT by Finance Magnates Staff
Blogs

Cracking China’s FX Market - What it Takes for Brokers to Succeed

  • It is difficult to break into and succeed in China. So what is driving brokers to enter the market?
Tuesday, 24/01/2017 | 11:54 GMT by Guest Contributors
Regulation

Danish FSA Warns of Binary Options Brokerages Titan Trade and 23 Traders

  • The Danish financial markets regulator has added two further binary options brokers to its warning list.
Tuesday, 24/01/2017 | 09:40 GMT by Finance Magnates Staff
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