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Breaking: eToro Gives Up on Regulation in its Motherland - Israel

  • The Israeli Security Authority has succeeded in driving away another firm from the local retail trading market.
Thursday, 15/09/2016 | 10:18 GMT by Avi Mizrahi
Prime Brokerage

FCA Plans to Ban Former Barclays Executive After Whistleblower Alert

  • The FCA's Decision Notice states that Andrew Tinney should be banned from carrying out senior management roles.
Wednesday, 14/09/2016 | 09:58 GMT by Finance Magnates Staff
Regulation

SEC: BOK Financial to Pay $1.6m for Turning Blind Eye to Investment Scheme

  • A former senior VP of the bank was also charged for alleged management failures of the bank’s corporate trust department.
Monday, 12/09/2016 | 10:16 GMT by Finance Magnates Staff
Regulation

ASIC Cancels Licence of The Sharemarket College for Misleading Investors

  • The Sharemarket College had no investment portfolio and its claims were false and misleading.
Thursday, 08/09/2016 | 07:03 GMT by Finance Magnates Staff
Execution

Colt Launches New Partnerships, Pushing Cloud-based Ecosystem Ahead of MiFID II

  • Colt PrizmNet has launched a partnership with TraderServe, Aquis Exchange, and TRADEcho.
Wednesday, 07/09/2016 | 09:04 GMT by Jeff Patterson
Regulation

New Zealand's Watchdog Warns Against Binary Options Broker Titan Trade

  • Titan Trade has made it onto another financial regulator’s warning list, this time for soliciting to New Zealand residents.
Wednesday, 07/09/2016 | 08:22 GMT by Finance Magnates Staff
Regulation

SpotOption Organizing Binary Options Lobby to Fight Global Crackdown

  • After Israel, France and Belgium took actions against them, binary options firms are coming together to defend their interests.
Monday, 05/09/2016 | 09:09 GMT by Avi Mizrahi
Technology

MarketAxess Selects Ancoa for its European Fixed Income Capabilities

  • MarketAxess has adopted Ancoa’s surveillance platform to enhance its EU fixed-income trading operations.
Thursday, 01/09/2016 | 12:11 GMT by Finance Magnates Staff
Regulation

G20 Urged to Remove Restrictions on Reporting of Some Derivatives

  • The regulator has not specifically outlined foreign exchange derivatives for now.
Wednesday, 31/08/2016 | 15:22 GMT by Victor Golovtchenko
Regulation

China Merchants International Corporation Added to SFC Alert List

  • Hong Kong’s SFC has cautioned the public against doing business with another unregulated entity.
Wednesday, 31/08/2016 | 11:42 GMT by Finance Magnates Staff
Regulation

SWIFT Warns of Cyber Assaults as Multiple Networks Compromised

  • New attacks have necessitated a response from SWIFT, which sees no decline in the frequency and scale of hacks.
Wednesday, 31/08/2016 | 09:47 GMT by Jeff Patterson
Regulation

SEC’s Whistleblower Program Crosses $100 Million Threshold

  • Since its inception four years ago, the whistleblower program has been a resounding success, rewarding over $100m.
Wednesday, 31/08/2016 | 08:57 GMT by Jeff Patterson
Regulation

ASIC Releases New Single Instrument for Horse Schemes

  • The new instrument introduced by the Australian financial regulator will replace three exisitng orders.
Wednesday, 31/08/2016 | 06:49 GMT by Finance Magnates Staff
Regulation

SFC Adds Investment Firm TCA Financial to its Alert List

  • Hong Kong's financial watchdog has warned investors against another unlicensed entity for providing inaccurate contact details.
Tuesday, 30/08/2016 | 14:00 GMT by Finance Magnates Staff
Regulation

Hong Kong SFC Warns Investors Against Unlicensed Entity IEA Holdings

  • IEA Holdings is the latest company to be pulled up for soliciting its dubious services to the unsuspecting public.
Tuesday, 30/08/2016 | 09:27 GMT by Finance Magnates Staff
Regulation

ASIC Publishes Guidance on Regulating Digital Advice for Retail Investors

  • ASIC has issued its latest guidance to address some of the issues that digital advice providers need to consider.
Tuesday, 30/08/2016 | 06:54 GMT by Finance Magnates Staff
Regulation

Every Mail You Send, Every Call You Make - Fonetic is Watching You

  • By email, phone call or chat, recording customer-supplier communications is vital. Fonetic USA CEO explains how it's done.
Monday, 29/08/2016 | 09:32 GMT by Dan Magen
Regulation

SFC Warns Investors Against One Two Trade Binary Options Provider

  • Hong Kong's SFC has issued a warning against binary options broker One Two Trade and flagged a further suspicious website.
Monday, 29/08/2016 | 09:17 GMT by Finance Magnates Staff
Regulation

Banks Facing More Regulatory Challenges Aiming at 'Too Big to Fail'

  • A report setting out recommendations preventing financial firms from blowing up the economy is imminent.
Friday, 26/08/2016 | 11:14 GMT by Finance Magnates Staff
Regulation

Some US Companies Employing Whistleblower Gag Orders in Bid to Prevent Leaks

  • Several companies appear to have been making deals to muzzle employees that run counter to US law.
Thursday, 25/08/2016 | 14:41 GMT by Jeff Patterson
Regulation

SEC Imposes $2.3m Fine on Wilbur Ross Firm for Non-Disclosure of Fees

  • WL Ross & Co has agreed to pay a fine to the SEC after not disclosing some of the fees it charged investors.
Thursday, 25/08/2016 | 08:08 GMT by Finance Magnates Staff
Regulation

Whistleblow at Your Own Risk: Former UBS Investment Manager Faces Reprisal

  • Meraj Sepehrnia has claimed wrongful treatment by the group after his dismissal.
Wednesday, 24/08/2016 | 11:07 GMT by Jeff Patterson
Regulation

Seed SEF LLC Granted CFTC Registration

  • The CFTC has approved Seed CX as a registered SEF, opening up new opportunities for the group.
Wednesday, 24/08/2016 | 09:47 GMT by Jeff Patterson
Regulation

KROUFR Blacklists Northern-Cyprus Based TouchTrades

  • TouchTrades is the 28th broker to be added to the Russian watchdog's blacklist.
Wednesday, 24/08/2016 | 07:45 GMT by Finance Magnates Staff
Execution

SGX Proposes New Market Capitalization Thresholds to Reduce Risk

  • SGX has posited that new market capitalization requirements would effectively bolster the existing protocols.
Tuesday, 23/08/2016 | 14:26 GMT by Jeff Patterson
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