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Regulation
Europe's Economic Crossroads: Recession Fears and S&P Global's
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7 Things We Wish Someone Had Told Us Before We Started Trading
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AIMS Enters Official Partnership with Italian Lamborghini Brand
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Europe's Economic Crossroads: Recession Fears and S&P Global's
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Regulation
NFA Activates New Forex Dealers Transparency Rule in March
2017-01-06T09:52:25.000+02:00
The new NFA rule mandates brokers to provide clients with execution data within 30 minutes.
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Brokers
CySEC Issues Whistleblower Disclosure Details, Procedural Updates
2017-01-03T22:40:47.000+02:00
CySEC has issued a new document outlining all measures and procedures pertinent to whistleblowing.
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Regulation
BaFin Puts Out Fresh Call to Whistleblowers in Pursuit of Disclosures
2017-01-02T20:16:46.000+02:00
Individuals are being urged to come forth and provide disclosures to BaFin in a bid to help aid in investigations.
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Blogs
Bank of Israel Regulation for Shekel Derivatives Commences in January 2017
2016-12-29T09:31:33.000+02:00
Reporting obligations apply to all financial entities based in Israel or abroad that trade shekel derivatives.
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Regulation
Former Singapore Banker Jailed Over 1MDB Probe
2016-12-23T11:18:56.000+02:00
Yeo Jiawei has been sentenced for hindering investigations into alleged money laundering.
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Regulation
SEC Charges Bosses of Fake Day-Trading Firm with Defrauding Novice Investors
2016-12-22T10:59:53.000+02:00
The two fraudsters behind the scheme pocketed over $1.4 million from investors across the world.
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Regulation
Advise Adds Bank Of Israel Derivatives Reporting Module to Consensus RMS
2016-12-21T12:00:46.000+02:00
The reporting module joins a list of over 20 global regulatory filing modules on the Consensus RMS platform.
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Data
Fintech Firms, Consumers Grapple Big Data Regulation in Latest Consultation
2016-12-20T23:17:54.000+02:00
Market participants, consumers, and venues are invited to lend their perspective on regulation impacting big data.
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Brokers
NFA Fines Avail Trading, David Manoukian $30k for Multiple Violations
2016-12-20T00:08:58.000+02:00
Avail Trading and David Manoukian have settled with the NFA following a complaint earlier this year.
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Regulation
Canada’s BCSC Adds StoxMarket to its Warning List
2016-12-19T09:58:08.000+02:00
The Canadian watchdog has added a further brokerage to its warning list for soliciting its services to the public.
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Regulation
SEC Charges Broker-Dealer and Associates with Violating Market Structure Rules
2016-12-19T09:18:53.000+02:00
This is the first time that the SEC has charged the CEO of a broker-dealer with Market Access Rule violations.
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Regulation
SFC Freezes Brokerage's Client Account Amid Suspected Market Manipulation
2016-12-16T13:29:17.000+02:00
The Hong Kong regulator has taken action against an Interactive Brokers client's account in the interest of the public.
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Regulation
SFC Bans Goodcape Securities for Breaking its IB Licence Conditions
2016-12-15T13:42:42.000+02:00
The company and its officers Tang and Chang deliberately hid their deceptive scheme and issued bogus account statements.
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Regulation
ASIC Charges GAIN Capital Employee for Dishonestly Using his Position
2016-12-15T12:10:42.000+02:00
The charges relate to orders placed by Shun Yuen Ken Li with the intention of gaining an advantage for clients.
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Regulation
Canada’s BCSC Warns of Binary Options Brokers BSDOption and BinaryOnline
2016-12-15T10:40:46.000+02:00
The watchdog has warned against a further two binary options brokers for unlawfully soliciting their services.
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Regulation
Hong Kong's SFC Warns Against VGS Virtual Currency Trading Platform
2016-12-14T13:33:36.000+02:00
The Hong Kong watchdog has added another suspicious website to its warning list.
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Regulation
Hong Kong’s SFC Warns Against Brokerage Firm Florin Investment
2016-12-14T11:20:15.000+02:00
The wealth management firm has joined the SFC’s warning list after targeting Hong Kong investors without authorisation.
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Regulation
CySEC Publishes Warning List of Over 100 Brokerages
2016-12-14T10:21:28.000+02:00
Cyprus’s watchdog has urged investors not to trade with the following list of unauthorised forex and binary options brokers.
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Exchanges
Nasdaq Stockholm, Clearing Fined by Swedish Regulator for Lax Security
2016-12-13T18:49:11.000+02:00
Swedish Regulator Finansinspektionen has fined Nasdaq Stockholm and Nasdaq Clearing a collective $6 million.
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Execution
Nasdaq Nordic Rolls Out Auction on Demand, Shoring Up Transparent Execution
2016-12-12T23:40:55.000+02:00
Auction on Demand will emphasize a wide range of execution challenges for larger orders.
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Regulation
Italy's CONSOB Adds Three New Brokers to its Warning List
2016-12-12T14:24:10.000+02:00
The watchdog continues to stamp out unregulated financial entities from promoting their services to Italian investors.
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Regulation
Citigroup Trader Settles Unfair Dismissal Case over FX Rate Manipulation
2016-12-12T10:15:43.000+02:00
The bank fired the trader after uncovering electronic chats that violated its code of conduct.
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Regulation
SEC’s Whistleblower Program Pays Out Second Weekly Reward
2016-12-09T20:36:31.000+02:00
The SEC has had a busy week with several whistleblowers playing key roles in investigations, resulting in payouts.
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Products
Retail Forex Trading and its Discontents: Beneath the Surface of Trader Behavior
2016-12-09T17:43:35.000+02:00
Time for regulators to use science when they take their decisions and not just rely on a narrow set of data.
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Regulation
ASIC Flags Two Brokers Amid Unauthorised Soliciting and Misconduct Concerns
2016-12-09T09:05:27.000+02:00
The watchdog has warned of RockSmith Options and put OpenMarkets Australia under its watchful eye.
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