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Regulation
Europe's Economic Crossroads: Recession Fears and S&P Global's
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Will Blockchain Technology Mark a Turning Point in Fraud
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7 Things We Wish Someone Had Told Us Before We Started Trading
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Finalto Renews Sponsorship with Singapore Crick et Club Rugby
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Europe's Economic Crossroads: Recession Fears and S&P Global's
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Blogs
Bringing Legacy Reporting into Modern Day Operation – What is Driving Change?
2017-01-25T11:32:10.000+02:00
What encourages firms to make the transition from a manual to automated regulatory process?
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Regulation
Polish Regulator Adds GKFX to Warning List
2017-01-24T15:37:40.000+02:00
The UK subsidiary of the broker has been included on the warning list of the KNF.
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Regulation
ASIC Consults on Consolidation of ASIC Market Integrity Rules
2017-01-24T13:55:16.000+02:00
The Australian regulator is proposing the streamlining of its rule books in order to clarify regulations and reduce red tape.
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Blogs
Cracking China’s FX Market - What it Takes for Brokers to Succeed
2017-01-24T13:54:49.000+02:00
It is difficult to break into and succeed in China. So what is driving brokers to enter the market?
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Regulation
Danish FSA Warns of Binary Options Brokerages Titan Trade and 23 Traders
2017-01-24T11:40:16.000+02:00
The Danish financial markets regulator has added two further binary options brokers to its warning list.
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Brokers
Bdswiss Holding Settles with CySEC for €150K After Suspected Breach of Conduct
2017-01-23T16:21:24.000+02:00
BDSwiss reached a settlement with CySEC for €150k amidst suspected violations of business conduct.
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Regulation
China’s Regulators Ban Net Renminbi Outflows From Banks Amid Currency Concerns
2017-01-23T12:11:32.000+02:00
Chinese regulators have made moves to curb bankers from moving currency overseas as part of a capital controls regime.
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Regulation
Danish FSA Issues Warning on Binary Options Firm TechOption
2017-01-20T15:52:50.000+02:00
The Danish financial regulator has warned investors against another binary options brokerage.
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Blogs
APAC Region Yields Mixed Outlook for FX Brokerage Prospects
2017-01-19T13:32:25.000+02:00
Asia has a number of attractive demographics appealing to brokers, though the region also poses several barriers.
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Bloggers
ASIC Continues to Encourage Fintech Regulation in Australia
2017-01-18T17:57:07.000+02:00
ASIC has identified three main issues restricting fintech firms.
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News
Cross Border Payments Facilitator Geoswift Receives FCA Authorisation
2017-01-18T15:59:19.000+02:00
FCA approval will allow Geoswift to meet the demands of its partners and clients who require secure cross-border payments.
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Regulation
CySEC Issues Update to Earlier Warning on Unauthorised Brokerages
2017-01-17T16:48:09.000+02:00
The Cypriot regulator has excluded four brokerages that were inadvertently included in its original announcement.
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Regulation
SFC Sues Standard Chartered, UBS for Misconduct Over China Forestry IPO
2017-01-17T14:35:38.000+02:00
The Hong Kong regulator is seeking damages over irregularities in connection with the IPO prospectus of China Forestry.
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Executive Moves
Montréal Exchange Promotes Julie Rochette to VP, Chief Regulatory Officer
2017-01-17T13:41:08.000+02:00
Julie Rochette has been elevated to a new lead regulatory role at the exchange group.
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Executive Moves
DTCC Secures Derek West as its Chief Compliance Officer for its European Trade Repository
2017-01-17T12:31:29.000+02:00
West joins DTCC in London to help work with its Global Trade Repository business in Europe.
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Blogs
Is the Australian CFD and FX Industry Due for Consolidation?
2017-01-17T11:22:51.000+02:00
The implications of upcoming regulations for the FX and CFD industry cannot be underestimated in Australia.
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Regulation
Dutch AFM Reports Number of Boiler Rooms in 2016 Has Doubled
2017-01-16T16:03:09.000+02:00
The Dutch' watchdog has reported an increase in boiler rooms compared with 2015 and warned of four further firms.
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ASIC Imposes $40,000 Infringement Notice Penalty on Pershing Securities
2017-01-16T10:48:46.000+02:00
Pershing failed to comply with the ASIC’s rules relating to the use of appropriate automated filters for its AOP systems.
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Regulation
ITG Settles for Over $24m with SEC Over ADR Securities Violations
2017-01-12T18:57:01.000+02:00
ITG has agreed to settle with the SEC for $24.4 million after its handling of ADR securities.
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Regulation
AQMetrics Upgrades its Compliance Suite for MiFID II Compatibility
2017-01-12T13:28:54.000+02:00
Ahead of MiFID II, AQMetrics is strengthening its risk management capabilities for buy- and sell-side firms.
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Regulation
Hong Kong’s SFC Warns of Yet Another Unlicensed Brokerage
2017-01-12T12:08:12.000+02:00
Carlson-Schmidt Securities has been added to the SFC's Alert List after a recent spate of unregulated broker activity.
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Blogs
Foreign FSPs Facing Minimal Barriers in Australia
2017-01-12T11:49:20.000+02:00
ASIC continues to allow foreign FSPs to provide financial services to Australian Wholesale Clients with minimal barriers.
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Regulation
Canada's OSC Charges Vernon Smith with Multiple Securities Act Breaches
2017-01-12T11:16:04.000+02:00
The Canadian watchdog has flagged another local resident for violating the law.
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Regulation
FCA Warns of Clone Firm Pretending to be ICE Futures Europe
2017-01-11T15:17:31.000+02:00
The UK regulator has warned against unlicensed Liffe Exchange, a clone of an established FCA-regulated entity.
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Execution
EU’s Endorsement of DFSA Central Counterparty Framework Draws Nasdaq Dubai Support
2017-01-11T13:29:42.000+02:00
The announcement helps solidify Nasdaq Dubai’s regulatory backing in the region.
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