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Regulation
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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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Brokers
Breaking: eToro Gives Up on Regulation in its Motherland - Israel
2016-09-15T12:18:21.000+02:00
The Israeli Security Authority has succeeded in driving away another firm from the local retail trading market.
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Prime Brokerage
FCA Plans to Ban Former Barclays Executive After Whistleblower Alert
2016-09-14T11:58:11.000+02:00
The FCA's Decision Notice states that Andrew Tinney should be banned from carrying out senior management roles.
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Regulation
SEC: BOK Financial to Pay $1.6m for Turning Blind Eye to Investment Scheme
2016-09-12T12:16:54.000+02:00
A former senior VP of the bank was also charged for alleged management failures of the bank’s corporate trust department.
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Regulation
ASIC Cancels Licence of The Sharemarket College for Misleading Investors
2016-09-08T09:03:25.000+02:00
The Sharemarket College had no investment portfolio and its claims were false and misleading.
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Execution
Colt Launches New Partnerships, Pushing Cloud-based Ecosystem Ahead of MiFID II
2016-09-07T11:04:32.000+02:00
Colt PrizmNet has launched a partnership with TraderServe, Aquis Exchange, and TRADEcho.
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Regulation
New Zealand's Watchdog Warns Against Binary Options Broker Titan Trade
2016-09-07T10:22:45.000+02:00
Titan Trade has made it onto another financial regulator’s warning list, this time for soliciting to New Zealand residents.
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Regulation
SpotOption Organizing Binary Options Lobby to Fight Global Crackdown
2016-09-05T11:09:12.000+02:00
After Israel, France and Belgium took actions against them, binary options firms are coming together to defend their interests.
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Technology
MarketAxess Selects Ancoa for its European Fixed Income Capabilities
2016-09-01T14:11:41.000+02:00
MarketAxess has adopted Ancoa’s surveillance platform to enhance its EU fixed-income trading operations.
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Regulation
G20 Urged to Remove Restrictions on Reporting of Some Derivatives
2016-08-31T17:22:08.000+02:00
The regulator has not specifically outlined foreign exchange derivatives for now.
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Regulation
China Merchants International Corporation Added to SFC Alert List
2016-08-31T13:42:26.000+02:00
Hong Kong’s SFC has cautioned the public against doing business with another unregulated entity.
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