ADVERTISEMENT
News
Retail FX
Institutional FX
Fintech
Payments
Cryptocurrency
Executives
Thought Leadership
FMTV
Trending
Education
Academy
Forex Education
Cryptocurrency Education
Fintech Education
Industry Terms
Directory
Events
Intelligence
Quarterly Intelligence Reports
Buy Latest Report
Custom Reports
Market
Market News
Live Market Prices
Economic Calendar
What are you looking for?
What are you looking for?
Subscribe to our News & Services
All News
Retail FX
Institutional FX
Fintech
Payments
Cryptocurrency
Executives
Thought Leadership
FMTV
Trending
Education
Academy
Forex Education
Cryptocurrency Education
Fintech Education
Industry Terms
Directory
Events
Intelligence
Quarterly Intelligence Reports
Buy Latest Report
Custom Reports
About Us
Contact us
Terms of Use
Privacy
Market
Market News
Live Market Prices
Economic Calendar
Market News
by
Subscribe to our News & Services
FM ALL News
FM Crypto
Follow us on Twitter
Follow us on Linkedin
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
Fintrix reports rise in introducing broker partnerships;
Thought Leadership
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
Fintrix reports rise in introducing broker partnerships;
Thought Leadership
ADVERTISEMENT
regulation
Search for a tag
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.
W
e
d
n
e
s
d
a
y
,
1
9
/
1
0
/
2
0
1
6
|
1
5
:
2
6
G
M
T
by
Finance Magnates Staff
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.
W
e
d
n
e
s
d
a
y
,
1
9
/
1
0
/
2
0
1
6
|
0
7
:
2
0
G
M
T
by
Finance Magnates Staff
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.
T
u
e
s
d
a
y
,
1
8
/
1
0
/
2
0
1
6
|
1
2
:
0
2
G
M
T
by
Finance Magnates Staff
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.
T
u
e
s
d
a
y
,
1
8
/
1
0
/
2
0
1
6
|
0
7
:
2
3
G
M
T
by
Finance Magnates Staff
ADVERTISEMENT
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.
F
r
i
d
a
y
,
1
4
/
1
0
/
2
0
1
6
|
1
1
:
1
0
G
M
T
by
Finance Magnates Staff
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.
F
r
i
d
a
y
,
1
4
/
1
0
/
2
0
1
6
|
0
6
:
5
5
G
M
T
by
Finance Magnates Staff
Regulation
SEC Fines Deutsche Bank $9.5M After Improperly Disclosing Equity Research
2016-10-12T21:24:31.000+02:00
Following the leaking of equity research, the regulator fined Deutsche Bank Securities $9.5M.
W
e
d
n
e
s
d
a
y
,
1
2
/
1
0
/
2
0
1
6
|
1
9
:
2
4
G
M
T
by
Jeff Patterson
Regulation
Italy's CONSOB Warns Against Unregulated Forex Broker FXGlory
2016-10-11T10:29:50.000+02:00
The Italian financial regulator has added another unlicensed forex broker to its warning list.
T
u
e
s
d
a
y
,
1
1
/
1
0
/
2
0
1
6
|
0
8
:
2
9
G
M
T
by
Finance Magnates Staff
ADVERTISEMENT
Regulation
Forex Broker AlfaTrade Exposed Again, This Time by Canada's OSC
2016-10-07T08:57:12.000+02:00
This is the second warning from Canada’s regulators about the firm’s unlicensed activities.
F
r
i
d
a
y
,
0
7
/
1
0
/
2
0
1
6
|
0
6
:
5
7
G
M
T
by
Finance Magnates Staff
Regulation
FMA Warns Investors Against Binary Options Brokerage Option Giants
2016-10-07T07:56:04.000+02:00
New Zealand’s watchdog has updated its warning list to include Option Giants after withholding clients funds.
F
r
i
d
a
y
,
0
7
/
1
0
/
2
0
1
6
|
0
5
:
5
6
G
M
T
by
Finance Magnates Staff
Regulation
Hong Kong SFC Warns Against Unlicensed Brokerage CW Associates
2016-10-06T11:49:09.000+02:00
The watchdog has warned investors against another unlicensed entity, adding the firm to its growing Alert List.
T
h
u
r
s
d
a
y
,
0
6
/
1
0
/
2
0
1
6
|
0
9
:
4
9
G
M
T
by
Finance Magnates Staff
Regulation
NFA Bans US-Based IB and Imposes $15,000 Penalty for Operational Failures
2016-10-05T09:31:28.000+02:00
The registered IB, forex and swap firm failed to implement an adequate AML program, amongst other violations.
W
e
d
n
e
s
d
a
y
,
0
5
/
1
0
/
2
0
1
6
|
0
7
:
3
1
G
M
T
by
Finance Magnates Staff
ADVERTISEMENT
Innovation
JP Morgan Adopts a New Take on Blockchain with Quorum
2016-10-04T13:40:18.000+02:00
The bank’s new Quorum project has commenced and is being built off the publicly accessible Ethereum network code.
T
u
e
s
d
a
y
,
0
4
/
1
0
/
2
0
1
6
|
1
1
:
4
0
G
M
T
by
Finance Magnates Staff
Regulation
ASIC Cancels AFS Licence of Lotus Securities for Obligation Failures
2016-10-04T10:20:16.000+02:00
The financial services provider failed to fulfill its duties in accordance with ASIC rules and regulations.
T
u
e
s
d
a
y
,
0
4
/
1
0
/
2
0
1
6
|
0
8
:
2
0
G
M
T
by
Finance Magnates Staff
Regulation
Morgan Stanley Charged by US Regulator for Running Illegal Sales Contests
2016-10-04T08:14:53.000+02:00
The contests were officially prohibited by the bank but proved to be lucrative, adding $24 million in new loan balances.
T
u
e
s
d
a
y
,
0
4
/
1
0
/
2
0
1
6
|
0
6
:
1
4
G
M
T
by
Finance Magnates Staff
Regulation
ESMA Grappling Feedback for Latest Draft RTS Covering Non-Equities Products
2016-10-03T12:15:36.000+02:00
The group is seeking feedback on its draft RTS for the non-equity tape ahead of MiFID II.
M
o
n
d
a
y
,
0
3
/
1
0
/
2
0
1
6
|
1
0
:
1
5
G
M
T
by
Jeff Patterson
ADVERTISEMENT
Regulation
CFTC Levies $250,000 Penalty on Angus Energy for Acting as Unregistered CTA
2016-09-30T08:02:48.000+02:00
Angus engaged in advising clients on OTC commodity options and swaps contracts without being registered.
F
r
i
d
a
y
,
3
0
/
0
9
/
2
0
1
6
|
0
6
:
0
2
G
M
T
by
Finance Magnates Staff
Regulation
CFTC Charges Options Trader with Fraud for Causing Collapse of Trading Firm
2016-09-29T22:57:49.000+02:00
Thomas Lindstrom’s scheme caused his employer over $13.9 million in losses and led to the collapse of Rock Capital Markets.
T
h
u
r
s
d
a
y
,
2
9
/
0
9
/
2
0
1
6
|
2
0
:
5
7
G
M
T
by
Finance Magnates Staff
Regulation
CFTC Imposes $1.75m Penalty on Futures and Options Trader for Fraud
2016-09-29T20:55:34.000+02:00
Jon Ruggles misappropriated his former employer’s confidential, nonpublic trading information to benefit his personal trading.
T
h
u
r
s
d
a
y
,
2
9
/
0
9
/
2
0
1
6
|
1
8
:
5
5
G
M
T
by
Finance Magnates Staff
Regulation
CFTC to Phase in Expansionary Interest Rate Swap Clearing Requirements
2016-09-29T08:12:54.000+02:00
The CFTC has opted to expand a list of interest rate clearing requirements, which will be phased in within two years.
T
h
u
r
s
d
a
y
,
2
9
/
0
9
/
2
0
1
6
|
0
6
:
1
2
G
M
T
by
Jeff Patterson
ADVERTISEMENT
Regulation
ASIC Levies Permanent Ban Against Former Deutsche Bank’s Andrew Donaldson
2016-09-29T07:47:13.000+02:00
The former FX options and futures trader at Deutsche Bank has been given a lifetime ban from ASIC.
T
h
u
r
s
d
a
y
,
2
9
/
0
9
/
2
0
1
6
|
0
5
:
4
7
G
M
T
by
Jeff Patterson
Technology
EU Commission Launches Probe into Deutsche Börse, LSEG Merger
2016-09-28T17:21:33.000+02:00
The European Commission has launched a probe into the merger, reflecting antitrust and competition concerns.
W
e
d
n
e
s
d
a
y
,
2
8
/
0
9
/
2
0
1
6
|
1
5
:
2
1
G
M
T
by
Jeff Patterson
Regulation
Will Regulators and Financial Firms Be Ready for MiFID II?
2016-09-28T11:19:25.000+02:00
Ron Finberg outlines the challenges facing the passage of MiFID II regulation and its reception by financial firms.
W
e
d
n
e
s
d
a
y
,
2
8
/
0
9
/
2
0
1
6
|
0
9
:
1
9
G
M
T
by
Jeff Patterson
Regulation
CFTC Charges Wells Fargo Bank $400k for Inaccurate Large Trader Reports
2016-09-28T08:37:01.000+02:00
Wells Fargo is under the spotlight again for for failing to submit accurate LTRs.
W
e
d
n
e
s
d
a
y
,
2
8
/
0
9
/
2
0
1
6
|
0
6
:
3
7
G
M
T
by
Finance Magnates Staff
ADVERTISEMENT
Brokers
Financial Commission Approves DLS as Category A Member
2016-09-27T16:43:17.000+02:00
DLS has gained membership to the Financial Commission following a thorough approval process.
T
u
e
s
d
a
y
,
2
7
/
0
9
/
2
0
1
6
|
1
4
:
4
3
G
M
T
by
Jeff Patterson
Next
Previous
ADVERTISEMENT
ADVERTISEMENT
!
"
#
$
%
&
'
(
)
*
+
,
-
.
/
0
1
2
3
4
5
6
7
8
9
:
;
<
=
>
?
@
A
B
C
D
E
F
G
H
I
J
K
L
M
N
O
P
Q
R
S
T
U
V
W
X
Y
Z
[
\
]
^
_
`
a
b
c
d
e
f
g
h
i
j
k
l
m
n
o
p
q
r
s
t
u
v
w
x
y
z
{
|
}
!
"
#
$
%
&
'
(
)
*
+
,
-
.
/
0
1
2
3
4
5
6
7
8
9
:
;
<
=
>
?
@
A
B
C
D
E
F
G
H
I
J
K
L
M
N
O
P
Q
R
S
T
U
V
W
X
Y
Z
[
\
]
^
_
`
a
b
c
d
e
f
g
h
i
j
k
l
m
n
o
p
q
r
s
t
u
v
w
x
y
z
{
|
}
