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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
Education Center
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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regulation
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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Analysis
Analysis: Do Local EU Regulators Want to Clean Up or Kill Retail FX and CFDs?
2016-09-27T14:16:04.000+02:00
Recent developments in France, Belgium and the Netherlands are shaping a tougher future for some brokers.
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Regulation
MFSA Warns Against Unlicensed Payments Provider Emexpay
2016-09-26T13:19:39.000+02:00
The payments provider has come under the spotlight of the Maltese watchdog for pretending to be regulated.
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Regulation
Belgian FSMA Warns Against Unauthorized Activities of Questra Holdings
2016-09-23T14:05:04.000+02:00
Another investment firm has been flagged by the FSMA for offering investments in Belgium without being registered.
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Blogs
Regulatory Alchemy: Transmuting Compliance Tax into Business Value
2016-09-22T09:07:32.000+02:00
Does regulation offer anything more than swelling administrative processes, compliance departments, and inert data?
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Regulation
Belize’s IFSC Flags TradeFxp License as “Complete Forgery”
2016-09-20T09:50:28.000+02:00
The Belize regulator has warned that TradeFxP's certificate of incorporation has been forged.
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Execution
Bank of England Authorizes ICE Clear Europe as Central Counterparty
2016-09-20T09:33:04.000+02:00
ICE Clear Europe has garnered approval from the Bank of England as a CCP in accordance with the EMIR regulatory framework.
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Next
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