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Regulation

Financial Commission Certifies Tradency's RoboX

  • Tradency has become the Financial Commission's latest approved provider.
Thursday, 24/11/2016 | 19:34 GMT by Finance Magnates Staff
Regulation

SEC Implicates Ex-Morgan Stanley Broker for Soliciting Securities After Ban

  • Rafael Calleja solicited $2.7 million from retired investors without disclosing that his licence was revoked.
Wednesday, 23/11/2016 | 09:59 GMT by Finance Magnates Staff
Exchanges

TMX Group Absolved of Market Abuse Allegations Following Investigation

  • The Canadian Competition Bureau has closed the investigation with no conclusion of ‘abuse of dominance’.
Tuesday, 22/11/2016 | 20:14 GMT by Jeff Patterson
Regulation

Belize’s IFSC Flags Crypto Investment Firm Xmaxbit Over Forged License

  • The Belize regulator has published a warning that Xmaxbit's certificate of incorporation is forged.
Tuesday, 22/11/2016 | 08:30 GMT by Finance Magnates Staff
Executive Moves

SEC’s Director Stephen Luparello to Part Ways With Regulator

  • Mr. Luparello is leaving the SEC after less than three years as Director of the Division of Trading and Markets.
Monday, 21/11/2016 | 23:02 GMT by Jeff Patterson
Execution

DTCC Expands Trade Repository Services in Canada, Offloads ProtoColl Service

  • All Canadian provinces and territories have been brought into the same fold via the GTR's service.
Monday, 21/11/2016 | 19:06 GMT by Jeff Patterson
Regulation

ASIC Initiates Court Proceedings Against State One for Compliance Failures

  • The stockbroking firm could face penalties of $425,000 after allegedly contravening market integrity rules.
Monday, 21/11/2016 | 08:47 GMT by Finance Magnates Staff
Executive Moves

Thomas Sexton Tapped as President and CEO of NFA, Succeeding Daniel Roth

  • Thomas Sexton will step into the new role in March, with Roth helping foster a transition for the new CEO.
Friday, 18/11/2016 | 18:54 GMT by Jeff Patterson
Regulation

Canada Regulator Warns Against Binary Options Broker Magnum Options

  • Nova Scotia Securities Commission has issued an investor alert against the broker for soliciting its services without a licence.
Friday, 18/11/2016 | 10:53 GMT by Finance Magnates Staff
Regulation

Japan’s Kanto Bureau Adds Banco Capital to its Warning List

  • Kanto Bureau has added a further binary options brokerage to its warning list for soliciting Japanese investors.
Wednesday, 16/11/2016 | 09:18 GMT by Finance Magnates Staff
Blogs

The Big Challenges Ahead for the Binary Options and Forex Industry

  • Who is killing the binary options industry - brokers, platform providers, regulators or affiliates?
Tuesday, 15/11/2016 | 12:04 GMT by Guest Contributors
Blogs

The Battlegrounds of Binary Options Part 3

  • The last of this three-part series looks at alternatives available to Israeli binary option brokers if there'll be a ban.
Thursday, 10/11/2016 | 14:41 GMT by Guest Contributors
Regulation

How to Cope With Successive Waves of Regulation in Europe

  • "There is already a strong demand is for consolidated regulatory reporting"
Thursday, 10/11/2016 | 11:20 GMT by Jeff Patterson
Regulation

"Regulators Becoming Proactive And So Should You"

Wednesday, 09/11/2016 | 16:20 GMT by Jeff Patterson
Regulation

New Zealand’s FMA Adds TCA Financial and Trade12 to its Warning List

  • TCA Financial has been flagged again and is now included in the FMA’s warning list along with Trade12.
Wednesday, 09/11/2016 | 08:55 GMT by Finance Magnates Staff
Regulation

Tickmill Expands Global Footprint with FCA Regulated UK Entity

  • Tickmill's UK entity is now licenced and regulated by the UK's Financial Conduct Authority.
Wednesday, 09/11/2016 | 08:07 GMT by Finance Magnates Staff
Blogs

The Battlegrounds of Binary Options Part 2

  • The second of this three-part series looks at the different moves made by the individual EU country regulators.
Wednesday, 09/11/2016 | 06:46 GMT by Guest Contributors
Blogs

The Battlegrounds of Binary Options - Part 1

  • ESMA has pushed for binary options further reform, with many EU countries banning the instrument's activities.
Tuesday, 08/11/2016 | 18:06 GMT by Guest Contributors
Regulation

BCSC Fines Panamanian Investment Dealer $350,000 for Unregistered Trading

  • The BCSC has banned and fined Verdmont Capital for unlawfully trading securities on behalf of its clients.
Monday, 07/11/2016 | 08:57 GMT by Finance Magnates Staff
Regulation

Israeli Regulators Grant Sixth Retail Trading License to Colmex

  • Two more Israeli firms (PROTRADE and Trade Capital Markets Ltd) are still kept waiting in regulatory limbo.
Monday, 07/11/2016 | 07:38 GMT by Avi Mizrahi
Blogs

Is Israel Cracking Down on Binary Options Technology Providers Too?

  • After banning the targeting of Israelis, the ISA wants to prohibit binary options operators from targeting foreigners too.
Sunday, 06/11/2016 | 12:51 GMT by Guest Contributors
Regulation

Can Automation be Enough to Save Brokers from Regulatory Challenges?

  • The founder and CEO of CPattern Oded Shefer is one of the distinguished speakers appearing at the FM London Summit.
Saturday, 05/11/2016 | 06:24 GMT by Jeff Patterson
Regulation

Chinese Bank Fined $215m by NY Regulator for Money Laundering Violations

  • Agricultural Bank of China has settled with NY watchdog DFS for violating anti-money laundering laws.
Friday, 04/11/2016 | 20:34 GMT by Finance Magnates Staff
Regulation

CFTC Approves Supplemental Proposal to Automated Trading Regulation

  • The proposal is designed to address the increased use of automated trading in the markets.
Friday, 04/11/2016 | 18:17 GMT by Finance Magnates Staff
Regulation

Broadridge Acquires M&O Systems, Expanding Regulatory Solutions Capabilities

  • The extended solutions suite will also look to promote an integrated approach to compensation across asset classes.
Friday, 04/11/2016 | 18:09 GMT by Jeff Patterson
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