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Brokers

Bdswiss Holding Settles with CySEC for €150K After Suspected Breach of Conduct

  • BDSwiss reached a settlement with CySEC for €150k amidst suspected violations of business conduct.
Monday, 23/01/2017 | 14:21 GMT by Jeff Patterson
Regulation

China’s Regulators Ban Net Renminbi Outflows From Banks Amid Currency Concerns

  • Chinese regulators have made moves to curb bankers from moving currency overseas as part of a capital controls regime.
Monday, 23/01/2017 | 10:11 GMT by Finance Magnates Staff
Regulation

Danish FSA Issues Warning on Binary Options Firm TechOption

  • The Danish financial regulator has warned investors against another binary options brokerage.
Friday, 20/01/2017 | 13:52 GMT by Finance Magnates Staff
Blogs

APAC Region Yields Mixed Outlook for FX Brokerage Prospects

  • Asia has a number of attractive demographics appealing to brokers, though the region also poses several barriers.
Thursday, 19/01/2017 | 11:32 GMT by Guest Contributors
Bloggers

ASIC Continues to Encourage Fintech Regulation in Australia

  • ASIC has identified three main issues restricting fintech firms.
Wednesday, 18/01/2017 | 15:57 GMT by Guest Contributors
News

Cross Border Payments Facilitator Geoswift Receives FCA Authorisation

  • FCA approval will allow Geoswift to meet the demands of its partners and clients who require secure cross-border payments.
Wednesday, 18/01/2017 | 13:59 GMT by Finance Magnates Staff
Regulation

CySEC Issues Update to Earlier Warning on Unauthorised Brokerages

  • The Cypriot regulator has excluded four brokerages that were inadvertently included in its original announcement.
Tuesday, 17/01/2017 | 14:48 GMT by Finance Magnates Staff
Regulation

SFC Sues Standard Chartered, UBS for Misconduct Over China Forestry IPO

  • The Hong Kong regulator is seeking damages over irregularities in connection with the IPO prospectus of China Forestry.
Tuesday, 17/01/2017 | 12:35 GMT by Finance Magnates Staff
Executive Moves

Montréal Exchange Promotes Julie Rochette to VP, Chief Regulatory Officer

  • Julie Rochette has been elevated to a new lead regulatory role at the exchange group.
Tuesday, 17/01/2017 | 11:41 GMT by Jeff Patterson
Executive Moves

DTCC Secures Derek West as its Chief Compliance Officer for its European Trade Repository

  • West joins DTCC in London to help work with its Global Trade Repository business in Europe.
Tuesday, 17/01/2017 | 10:31 GMT by Jeff Patterson
Blogs

Is the Australian CFD and FX Industry Due for Consolidation?

  • The implications of upcoming regulations for the FX and CFD industry cannot be underestimated in Australia.
Tuesday, 17/01/2017 | 09:22 GMT by Guest Contributors
Regulation

Dutch AFM Reports Number of Boiler Rooms in 2016 Has Doubled

  • The Dutch' watchdog has reported an increase in boiler rooms compared with 2015 and warned of four further firms.
Monday, 16/01/2017 | 14:03 GMT by Finance Magnates Staff
Regulation

ASIC Imposes $40,000 Infringement Notice Penalty on Pershing Securities

  • Pershing failed to comply with the ASIC’s rules relating to the use of appropriate automated filters for its AOP systems.
Monday, 16/01/2017 | 08:48 GMT by Finance Magnates Staff
Regulation

ITG Settles for Over $24m with SEC Over ADR Securities Violations

  • ITG has agreed to settle with the SEC for $24.4 million after its handling of ADR securities.
Thursday, 12/01/2017 | 16:57 GMT by Jeff Patterson
Regulation

AQMetrics Upgrades its Compliance Suite for MiFID II Compatibility

  • Ahead of MiFID II, AQMetrics is strengthening its risk management capabilities for buy- and sell-side firms.
Thursday, 12/01/2017 | 11:28 GMT by Jeff Patterson
Regulation

Hong Kong’s SFC Warns of Yet Another Unlicensed Brokerage

  • Carlson-Schmidt Securities has been added to the SFC's Alert List after a recent spate of unregulated broker activity.
Thursday, 12/01/2017 | 10:08 GMT by Finance Magnates Staff
Blogs

Foreign FSPs Facing Minimal Barriers in Australia

  • ASIC continues to allow foreign FSPs to provide financial services to Australian Wholesale Clients with minimal barriers.
Thursday, 12/01/2017 | 09:49 GMT by Guest Contributors Institutional
Regulation

Canada's OSC Charges Vernon Smith with Multiple Securities Act Breaches

  • The Canadian watchdog has flagged another local resident for violating the law.
Thursday, 12/01/2017 | 09:16 GMT by Finance Magnates Staff
Regulation

FCA Warns of Clone Firm Pretending to be ICE Futures Europe

  • The UK regulator has warned against unlicensed Liffe Exchange, a clone of an established FCA-regulated entity.
Wednesday, 11/01/2017 | 13:17 GMT by Finance Magnates Staff
Execution

EU’s Endorsement of DFSA Central Counterparty Framework Draws Nasdaq Dubai Support

  • The announcement helps solidify Nasdaq Dubai’s regulatory backing in the region.
Wednesday, 11/01/2017 | 11:29 GMT by Jeff Patterson
Regulation

FCA Issues Warning to Investors about Capital Value Brokers

  • The regulator has warned about another brokerage as it attempts to eradicate malpractice in the financial services industry.
Tuesday, 10/01/2017 | 13:52 GMT by Finance Magnates Staff
Regulation

SEC Charges Two Brokers for Defrauding Multiple Traders

  • The US regulator recommended the use of an in-and-out trading strategy that was unsuitable for its clients.
Tuesday, 10/01/2017 | 08:38 GMT by Finance Magnates Staff
Regulation

US Bank Regulator Imposes $33m Fine on HSBC for Administration Failures

  • The bank has received another hefty fine for account failures that were considered unsafe and unsound.
Tuesday, 10/01/2017 | 07:58 GMT by Finance Magnates Staff
Brokers

Exclusive: Unregulated Firm UK Options Closing Shop

  • Binary options provider closes down, seemingly due to growing pressure from local regulator.
Monday, 09/01/2017 | 10:24 GMT by Dan Magen
Regulation

FCA Warns Against Clone Broker for Posing as Gain Capital UK

  • The FCA has warned against Gain Capital Ltd, a clone of an established FCA-regulated firm.
Friday, 06/01/2017 | 12:15 GMT by Finance Magnates Staff
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