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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
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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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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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AIMS Enters Official Partnership with Italian Lamborghini Brand
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regulation
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Execution
Broadridge Introduces New Regulatory Solutions Suite, Facilitating DOL Rules
2016-11-03T22:08:23.000+02:00
An upcoming DOL rule will serve as one of the largest regulatory events facing the financial industry in recent years.
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Dutch AFM Warns Against Monex BMO Securities
2016-11-03T12:31:58.000+02:00
The Netherland’s financial watchdog has red-flagged the online brokerage as a suspected boiler-room scam.
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Blogs
The Changing Face of Compliance and Why You Should Be Concerned
2016-11-02T13:42:38.000+02:00
What caused compliance and risk management to become the foremost concern of all financial services providers?
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Regulation
SFC Bans UOB Hong Kong Rep For Causing Client's $50m Trading Loss
2016-11-02T12:59:06.000+02:00
Lawrence Lai has been prohibited from re-entering the industry after breaching the SFC’s code of conduct.
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Regulation
Financial Commission Expands Membership with Addition of Axiory Global
2016-11-01T21:11:23.000+02:00
Axiory Global is the latest addition to the Financial Commission's growing membership.
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Regulation
Citigroup Drawn into CFTC Probe, Investigating Global Rate-Swap Businesses
2016-10-31T17:58:54.000+02:00
The probe investigates the industry’s leading swap dealers following a 2015 lawsuit.
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Regulation
SFC Bans Richmond Asset Management After $5m Phuket Land Investment Fraud
2016-10-31T15:08:11.000+02:00
The firm failed to properly disclose potential conflicts of interest to its clients and routed monies into unathourised funds.
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Regulation
Don Wilson’s DRW Attempts to Dodge Market Manipulation Trial
2016-10-28T15:45:55.000+02:00
The trading firm has filed a motion requesting that the case be dismissed prior to it going before a jury.
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Regulation
Malta's MFSA Issues Warning Against MXTrade and TradingBanks
2016-10-28T12:21:49.000+02:00
The regulator has added two more entities to its warning list and advised the public not to invest with them.
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Executive Moves
Financial Commission Strengthens Dispute Resolution Committee, Adds Peg Reed
2016-10-26T20:22:59.000+02:00
Peg Reed, the COO of Forex Development Corporation, joins the DRC as its newest member.
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Brokers
Russian Watchdog KROUFR Adds Forex Broker Trade12 to Warning List
2016-10-26T10:12:34.000+02:00
Trade12 is the latest forex broker to be added to the regulator’s blacklist for withdrawal-related issues.
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Regulation
CySEC Fines XForex Parent €225,000 for Multiple Advisory Failures
2016-10-25T17:54:49.000+02:00
XForex has been fined for violations concerning investment advice and payment of trading bonuses.
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Regulation
CFTC Chief Massad Sees Validity in Tempered Regulations of Automated Trading
2016-10-24T19:28:40.000+02:00
Mr. Massad took new aim at automated trading, including rolling back a segments of a multi-tiered proposal for regulation.
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Regulation
Option500 Added to Hong Kong SFC's Alert List
2016-10-21T14:05:30.000+02:00
The binary options broker has joined the SFC’s warning list after targeting Hong Kong investors without permission.
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Regulation
Canadian Regulator BCSC Adds Two More Binary Options Firms to Warning List
2016-10-21T10:21:53.000+02:00
The list just keeps growing as PrimeBrokerz and Crown Managers are the latest entities red-flagged by the BCSC.
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Technology
Neurensic Releases Cloud-Based AI Surveillance Solution for Trading Industry
2016-10-21T08:05:29.000+02:00
The solution is the first of its kind and deals with disruptive trading practices in the capital markets.
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Regulation
Central Option Under Fire Again as Swiss Regulator FINMA Issues Warning
2016-10-20T12:39:40.000+02:00
This is the third warning in a row for the binary options broker that was recently caught red-handed by the MSC.
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Regulation
IFSC Warns Against Second Binary Options Firm in a Week
2016-10-20T09:50:46.000+02:00
The Belize regulator has warned the public not to trade with BinaryOptionInvestors after finding its licence was forged.
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Regulation
Yorkshire Group Charged $1.5m for Illegal Transactions
2016-10-20T08:59:10.000+02:00
The Yorkshire Group illegally solicited and accepted funds from retail customers to purchase physical precious metals.
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News
Japan’s FSA Contemplates Regulation of Pokémon Go Virtual Currency
2016-10-19T17:26:10.000+02:00
The Japanese watchdog has been deliberating whether PokeCoins should be regulated under prepaid card laws.
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Regulation
Bank Leumi to Pay $1.6 Million for Illegal US Cross-Border Business
2016-10-19T09:20:46.000+02:00
Bank Leumi provided investment advice and securities transactions without being registered.
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Regulation
Belize: IFSC Cancels Banc De Binary Trading Licence
2016-10-18T14:02:58.000+02:00
The Belize regulator has removed the licence of the binary options brokerage for non-compliance issues.
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Regulation
Morgan Stanley's Investment Unit Agrees $2.2m Settlement with FINRA
2016-10-18T09:23:29.000+02:00
The investment unit of the bank has agreed to a fine for submitting inaccurate reports in violation of FINRA’s rules.
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Regulation
EUBOA Meets to Establish Manifesto for Binary Options Trading Industry
2016-10-14T13:10:17.000+02:00
Members of the Association have met to discuss guidelines, code of conduct and interaction with regulators.
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Regulation
SEC Imposes $50K Penalty on Firm for Offering Fantasy Stock Trading Game
2016-10-14T08:55:58.000+02:00
Forcerank has been fined for offering an unregistered swap 'Stock Picking' game in violation of federal securities laws.
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