FM Home
> Regulation
Europe's Economic Crossroads: Recession Fears and S&P Global's
Education Center
Will Blockchain Technology Mark a Turning Point in Fraud
Education Center
7 Things We Wish Someone Had Told Us Before We Started Trading
Education Center
Finalto Renews Sponsorship with Singapore Crick et Club Rugby Thought Leadership

regulation

Search for a tag
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
Regulation

NFA Activates New Forex Dealers Transparency Rule in March

  • The new NFA rule mandates brokers to provide clients with execution data within 30 minutes.
Friday, 06/01/2017 | 07:52 GMT by Victor Golovtchenko
Brokers

CySEC Issues Whistleblower Disclosure Details, Procedural Updates

  • CySEC has issued a new document outlining all measures and procedures pertinent to whistleblowing.
Tuesday, 03/01/2017 | 20:40 GMT by Jeff Patterson
Regulation

BaFin Puts Out Fresh Call to Whistleblowers in Pursuit of Disclosures

  • Individuals are being urged to come forth and provide disclosures to BaFin in a bid to help aid in investigations.
Monday, 02/01/2017 | 18:16 GMT by Jeff Patterson
Blogs

Bank of Israel Regulation for Shekel Derivatives Commences in January 2017

  • Reporting obligations apply to all financial entities based in Israel or abroad that trade shekel derivatives.
Thursday, 29/12/2016 | 07:31 GMT by Sarah Murray
Regulation

Former Singapore Banker Jailed Over 1MDB Probe

  • Yeo Jiawei has been sentenced for hindering investigations into alleged money laundering.
Friday, 23/12/2016 | 09:18 GMT by Finance Magnates Staff
Regulation

SEC Charges Bosses of Fake Day-Trading Firm with Defrauding Novice Investors

  • The two fraudsters behind the scheme pocketed over $1.4 million from investors across the world.
Thursday, 22/12/2016 | 08:59 GMT by Finance Magnates Staff
Regulation

Advise Adds Bank Of Israel Derivatives Reporting Module to Consensus RMS

  • The reporting module joins a list of over 20 global regulatory filing modules on the Consensus RMS platform.
Wednesday, 21/12/2016 | 10:00 GMT by Finance Magnates Staff
Data

Fintech Firms, Consumers Grapple Big Data Regulation in Latest Consultation

  • Market participants, consumers, and venues are invited to lend their perspective on regulation impacting big data.
Tuesday, 20/12/2016 | 21:17 GMT by Jeff Patterson
Brokers

NFA Fines Avail Trading, David Manoukian $30k for Multiple Violations

  • Avail Trading and David Manoukian have settled with the NFA following a complaint earlier this year.
Monday, 19/12/2016 | 22:08 GMT by Jeff Patterson
Regulation

Canada’s BCSC Adds StoxMarket to its Warning List

  • The Canadian watchdog has added a further brokerage to its warning list for soliciting its services to the public.
Monday, 19/12/2016 | 07:58 GMT by Finance Magnates Staff
Regulation

SEC Charges Broker-Dealer and Associates with Violating Market Structure Rules

  • This is the first time that the SEC has charged the CEO of a broker-dealer with Market Access Rule violations.
Monday, 19/12/2016 | 07:18 GMT by Finance Magnates Staff
Regulation

SFC Freezes Brokerage's Client Account Amid Suspected Market Manipulation

  • The Hong Kong regulator has taken action against an Interactive Brokers client's account in the interest of the public.
Friday, 16/12/2016 | 11:29 GMT by Finance Magnates Staff
Regulation

SFC Bans Goodcape Securities for Breaking its IB Licence Conditions

  • The company and its officers Tang and Chang deliberately hid their deceptive scheme and issued bogus account statements.
Thursday, 15/12/2016 | 11:42 GMT by Finance Magnates Staff
Regulation

ASIC Charges GAIN Capital Employee for Dishonestly Using his Position

  • The charges relate to orders placed by Shun Yuen Ken Li with the intention of gaining an advantage for clients.
Thursday, 15/12/2016 | 10:10 GMT by Finance Magnates Staff
Regulation

Canada’s BCSC Warns of Binary Options Brokers BSDOption and BinaryOnline

  • The watchdog has warned against a further two binary options brokers for unlawfully soliciting their services.
Thursday, 15/12/2016 | 08:40 GMT by Finance Magnates Staff
Regulation

Hong Kong's SFC Warns Against VGS Virtual Currency Trading Platform

  • The Hong Kong watchdog has added another suspicious website to its warning list.
Wednesday, 14/12/2016 | 11:33 GMT by Finance Magnates Staff
Regulation

Hong Kong’s SFC Warns Against Brokerage Firm Florin Investment

  • The wealth management firm has joined the SFC’s warning list after targeting Hong Kong investors without authorisation.
Wednesday, 14/12/2016 | 09:20 GMT by Finance Magnates Staff
Regulation

CySEC Publishes Warning List of Over 100 Brokerages

  • Cyprus’s watchdog has urged investors not to trade with the following list of unauthorised forex and binary options brokers.
Wednesday, 14/12/2016 | 08:21 GMT by Finance Magnates Staff
Exchanges

Nasdaq Stockholm, Clearing Fined by Swedish Regulator for Lax Security

  • Swedish Regulator Finansinspektionen has fined Nasdaq Stockholm and Nasdaq Clearing a collective $6 million.
Tuesday, 13/12/2016 | 16:49 GMT by Jeff Patterson
Execution

Nasdaq Nordic Rolls Out Auction on Demand, Shoring Up Transparent Execution

  • Auction on Demand will emphasize a wide range of execution challenges for larger orders.
Monday, 12/12/2016 | 21:40 GMT by Jeff Patterson
Next Previous
!"#$%&'()*+,-./0123456789:;<=>?@ABCDEFGHIJKLMNOPQRSTUVWXYZ[\]^_`abcdefghijklmnopqrstuvwxyz{|} !"#$%&'()*+,-./0123456789:;<=>?@ABCDEFGHIJKLMNOPQRSTUVWXYZ[\]^_`abcdefghijklmnopqrstuvwxyz{|}