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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
Fintrix reports rise in introducing broker partnerships;
Thought Leadership
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
Fintrix reports rise in introducing broker partnerships;
Thought Leadership
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regulation
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Regulation
FINRA Levies $1.3m Fine on Barclays Capital for Supervisory Failures
2016-08-03T19:22:02.000+02:00
Regulatory lapses across Barclays Capital's Order Audit Trail System have resulted in a fine from FINRA.
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Regulation
Federal Court Orders John Briner to Pay $280,000 Over Money Pass Scheme
2016-08-02T22:39:44.000+02:00
The Judge Milton I. Shadur levied a fine against Briner for engaging in fictitious futures transactions.
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Executive Moves
ASIC’s Markets Disciplinary Panel Elevates Simon Gray as its Chairman
2016-08-01T10:42:36.000+02:00
The panel has tapped Simon Gray as its chairman, succeeding Lisa Gay after a period of six years.
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Regulation
State Street Bank to Pay $382m in Settlement of Fraudulent Forex Activities
2016-07-27T08:47:18.000+02:00
The bank has been ordered to pay penalties for a series of violations relating to clients’ fx transactions.
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Regulation
CFTC Doles Out Latest Whistleblower Award of $50K
2016-07-26T18:31:27.000+02:00
The CFTC has awarded its third whistleblower award in the last ten months with the program helping with enforcement.
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Thought Leaders
Understanding Binary Options Regulation
2016-07-26T12:18:23.000+02:00
To date, efforts to regulate the binary options industry has changed the way brokers operate. Will it continue?
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Regulation
Xtrade Russia Joins Russian Self Regulatory Organization NAFD
2016-07-25T18:43:39.000+02:00
XTrade is aiming at the Russian market with its latest move to join the recently renamed CRFIN.
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Aziz Abdel-Qader
Regulation
HSBC Investigating Mark Johnson’s Former FX Trades Following Arrest
2016-07-21T22:02:47.000+02:00
HSBC is relying on a former probe of the bank's FX trades to investigate Johnson's behavior.
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Regulation
Independent Report Criticizes FCA on Post-Crisis Softness
2016-07-21T16:37:24.000+02:00
The commissioner overseeing complaints against the FCA calls out the UK financial regulator for being too defensive.
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Victor Golovtchenko
Retail FX
SFC Warns of Suspicious Activity of Shi Fu Investment Hong Kong
2016-07-20T09:26:43.000+02:00
Shi Fu Investment Hong Kong has been added to the SFC’s alert list under the banner of suspicious websites.
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Execution
Tower Trading Group Selects Ancoa to Monitor Multi-Asset Trading Activities
2016-07-19T15:48:18.000+02:00
Tower Trading Group has adopted Ancoa’s surveillance platform to enhance its compliance function.
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Execution
Pico Utilizes Corvil’s Technology to Foster European Trading Platform Rollout
2016-07-19T15:00:50.000+02:00
The new joint offering will look to create a unified network that aims to leverage Corvil’s technology.
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Regulation
Russia’s Self Regulatory Association Rebrands as NAFD
2016-07-18T14:19:22.000+02:00
Russia’s self regulatory association, previously known as CRFIN, has renamed itself NAFD.
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Regulation
Spain’s CNMV Warns Against Forex Broker Your Trade Choice
2016-07-18T13:20:12.000+02:00
The Spanish financial services watchdog has flagged another forex broker for unlawfully soliciting its services to the public.
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Regulation
BCSC Issues Warning Against Binary Options Broker DGI Market
2016-07-18T10:25:24.000+02:00
Bulgarian-based DGI Market is the latest broker to be flagged for promoting its trading platform to Canadian traders.
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Exchanges
OTC Markets Group Gets Blue Sky Recognition for Two of its Venues in 4 States
2016-07-14T16:30:03.000+02:00
Four US state recognized some of the firm's venues under Blue Sky Manual Exemptions.
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Steven Hatzakis
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Regulation
FCA Loses Identity Case Against London Whale Assistant, UK Tribunal Rules
2016-07-13T18:22:07.000+02:00
A London Tribunal has cited improper disclosure of Julien Grout.
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Jeff Patterson
Regulation
SWIFT Calls in Reinforcements to Help Police Cyber Security
2016-07-11T15:56:43.000+02:00
SWIFT has leaned on cyber-security specialists BAE Systems and Fox-IT and created a new security team.
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Regulation
Another Israeli Broker Throws in the Towel, General Trade is Out
2016-07-10T11:51:15.000+02:00
Only nine firms now remain in the application process for an Israeli trading license.
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Executive Moves
BNY Mellon Secures Robert Allan as its Head of EMEA Compliance Surveillance
2016-07-07T19:11:05.000+02:00
Mr. Allan joins BNY Mellon after nearly 18 years at CIBC World Markets.
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Regulation
Four Barclays’ Traders Given Steep Jail Sentences for LIBOR Abuse
2016-07-07T17:46:27.000+02:00
Jay Merchant, Peter Johnson, Jonathan Mathew, and Alex Pabon are heading directly to prison after a UK judge's ruling.
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Regulation
Analysis: Latest CySEC Circulars Likely Result from ESMA Pressure
2016-07-07T13:38:25.000+02:00
CySEC has been gradually toughening its stance on a number of counts in recent months under pressure from European peers
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Execution
Abide Financial, Corvil Team Up to Launch Transaction Reporting Solution
2016-07-07T11:01:38.000+02:00
The new partnership is aimed at delivering end-to-end transaction reporting and reconciliation solutions.
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News
North Carolina Adopts Business-Friendly Regulation on Blockchain
2016-07-07T11:00:01.000+02:00
The North Carolina approach to cryptocurrencies starkly contrasts with New York’s licensing regime.
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Regulation
Canada's BCSC Finds B.C. Resident Committed Fraud on Investor
2016-07-07T10:40:36.000+02:00
Larry Keith Davis has been found by the BCSC to have engaged in frauduent investment activities.
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