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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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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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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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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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