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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
Regulation

Italy's CONSOB Adds Three New Brokers to its Warning List

  • The watchdog continues to stamp out unregulated financial entities from promoting their services to Italian investors.
Monday, 12/12/2016 | 12:24 GMT by Finance Magnates Staff
Regulation

Citigroup Trader Settles Unfair Dismissal Case over FX Rate Manipulation

  • The bank fired the trader after uncovering electronic chats that violated its code of conduct.
Monday, 12/12/2016 | 08:15 GMT by Finance Magnates Staff
Regulation

SEC’s Whistleblower Program Pays Out Second Weekly Reward

  • The SEC has had a busy week with several whistleblowers playing key roles in investigations, resulting in payouts.
Friday, 09/12/2016 | 18:36 GMT by Jeff Patterson
Products

Retail Forex Trading and its Discontents: Beneath the Surface of Trader Behavior

  • Time for regulators to use science when they take their decisions and not just rely on a narrow set of data.
Friday, 09/12/2016 | 15:43 GMT by Victor Golovtchenko
Regulation

ASIC Flags Two Brokers Amid Unauthorised Soliciting and Misconduct Concerns

  • The watchdog has warned of RockSmith Options and put OpenMarkets Australia under its watchful eye.
Friday, 09/12/2016 | 07:05 GMT by Finance Magnates Staff
Brokers

Shifting FX, CFD Segregation Laws in Australia Garner OANDA Endorsement

  • OANDA supports a number of new efforts in Australia that regulate FX and CFDs.
Thursday, 08/12/2016 | 22:11 GMT by Jeff Patterson
Blogs

A Provisional Green Light: Supervisors and Regtech

  • Regulators are looking to finally catch up with financial innovation, helping facilitate a future framework.
Thursday, 08/12/2016 | 16:26 GMT by Guest Contributors
Technology

Lombard Risk Signs Deal with Atos to Deliver Collateral Management Solution

  • Atos will deliver Lombard Risk’s COLLINE as an integral part of the service for its client base.
Thursday, 08/12/2016 | 14:03 GMT by Finance Magnates Staff
Regulation

Canadian Watchdog MSC Warns About Binary Options Broker B4Binary

  • B4Binary has made it onto the Canadian watchdog’s caution list after violating its rules and regulations.
Thursday, 08/12/2016 | 13:50 GMT by Finance Magnates Staff
Payments

UK’s Payment Systems Regulator to Foster More Competitive Domestic Playing Field

  • The PSR is trying to shake up the status quo with new third-party entrants into the payments market.
Wednesday, 07/12/2016 | 20:13 GMT by Jeff Patterson
News

FCA Inks Fintech Deal with HKMA to Foster Financial Innovation

  • The two regulators will work together on initiatives aimed at reducing the barriers for start-up firms.
Wednesday, 07/12/2016 | 14:07 GMT by Finance Magnates Staff
Regulation

FCA Proposals Send Shockwaves Across Atlantic, GAIN's Shares Fall 9%

  • GAIN Capital has offered its support of the proposed measures from a recent FCA paper that has made waves.
Tuesday, 06/12/2016 | 17:22 GMT by Jeff Patterson
Regulation

SFC Initiates Tribunal Proceedings Over Insider Dealing in Titan Shares

  • The watchdog is seeking orders for the offenders to repay $2.5m losses they avoided from their disposal of the shares.
Tuesday, 06/12/2016 | 11:20 GMT by Finance Magnates Staff
Blogs

A Letter from a Binary Options Trader

  • It's time to take control of our industry and stop letting a few bad apples spoil the bunch.
Tuesday, 06/12/2016 | 11:12 GMT by Guest Contributors
Regulation

SESC Proposes $1.9m Fine for Morgan Stanley MUFG over Market Manipulation

  • The trader allegedly manipulated the market by selling Seibu shares after their price rose and cancelled the buy orders.
Tuesday, 06/12/2016 | 10:01 GMT by Finance Magnates Staff
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