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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
Regulation

Hong Kong’s SFC Warns Investors on OTEX World Corporation

  • OTEX World Corporation has been red-flagged by the SFC as an unlicensed entity operating in the country.
Tuesday, 23/08/2016 | 09:05 GMT by Finance Magnates Staff
News

FCA to Encourage Blockchain Startups, is a UK Bitlicense Coming?

  • London is one of the most prominent financial centers in the world and the move could greatly promote blockchain technology.
Monday, 22/08/2016 | 14:39 GMT by Avi Mizrahi
Payments

MAS Rolls Out Report, New Strategies Governing E-Payments in Singapore

  • MAS has published the Singapore Payments Roadmap, looking to streamline electronic payments in the country.
Friday, 19/08/2016 | 08:46 GMT by Jeff Patterson
Exchanges

Saudi Arabia’s Stock Exchange, IPO Market, Warm to Foreign Investors

  • Foreign investors looking to get into the IPO market in Saudi Arabia may be facing fewer barriers in the future.
Thursday, 18/08/2016 | 17:03 GMT by Jeff Patterson
Regulation

SWIFT Initiates New High Value Payments Taskforce to Police Infrastructure

  • The new taskforce will rely on other industry players and help expand existing market focuses into HVPs.
Thursday, 18/08/2016 | 10:32 GMT by Jeff Patterson
Regulation

CySEC Urges Brokerages to Stop Providing Services to Belgian Residents

  • CySEC is cautioning firms to limit access to traders from Belgium following the recent regulatory shakeup.
Wednesday, 17/08/2016 | 15:12 GMT by Jeff Patterson
Executive Moves

Financial Commission Adds Nir Porat to its Dispute Resolution Committee

  • FinaCom's DRC has secured the services of Nir Porat who brings a diverse set of skills to the panel.
Tuesday, 16/08/2016 | 11:08 GMT by Jeff Patterson
Execution

SWIFT Launches New Campaign to Promote Interface Security for Clients

  • SWIFT has launched a new campaign to shore up security across several of its interface functions.
Tuesday, 16/08/2016 | 09:35 GMT by Jeff Patterson
Regulation

FCA Issues Warning on Morgan Stanley Clone

  • The FCA has warned against Morgan Stanley/Morgan Stanley & Co Ltd, a clone of an FCA-regulated firm.
Monday, 15/08/2016 | 11:04 GMT by Jeff Patterson
Thought Leaders

2016 – Entering the Age of the “Non-Bank”

  • The global financial crisis regulatory reforms have finally started to reshape the investment banking industry.
Thursday, 11/08/2016 | 15:33 GMT by Guest Contributors
Regulation

SEC Charges Former Football Player For Running $10 Million Fraud

  • The perpetrators used the funds raised from investors to pay for personal expenses and to repay earlier investors.
Thursday, 11/08/2016 | 07:21 GMT by Finance Magnates Staff
Regulation

Financial Commission Inks MoU with Belarus’ ARFIN

  • The MoU will look to secure more favorable trading conditions for FX market participants in Belarus.
Wednesday, 10/08/2016 | 21:01 GMT by Jeff Patterson
Regulation

CySEC Imposes €2,000 Fine on M&L Invest Union Markets

  • Yet another forex brokerage has been fined by the Cyprus regulator.
Wednesday, 10/08/2016 | 14:11 GMT by Finance Magnates Staff
Regulation

SFC Fines Lam Chun Yin and Yeung Chok Cheong for Share Trading Violations

  • The pair have been fined a total of $162,830, representing the profits made by each of them from trading shares.
Wednesday, 10/08/2016 | 10:21 GMT by Finance Magnates Staff
Regulation

Hong Kong SFC Warns Against Fox Capital Partners

  • Hong Kong’s watchdog has included a further unlicensed entity to its warning list.
Wednesday, 10/08/2016 | 08:36 GMT by Finance Magnates Staff
News

DC Cryptocurrency Lobby Turns Against California's Bitcoin License Bill

  • Coin Center says that California's proposed new law is "bad news for anyone who loves Bitcoin and blockchain technology."
Wednesday, 10/08/2016 | 06:54 GMT by Avi Mizrahi
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