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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
Execution

Divergence Between EU/US Law Could Create Regulatory Headwinds - SWIFT

  • Several regulatory hurdles exist with upcoming legislation between the EU and the US.
Tuesday, 09/08/2016 | 15:08 GMT by Jeff Patterson
Regulation

Binary Options Affiliate Website Targeted by Danish Financial Watchdog

  • The Danish FSA has today added binary options affiliate website Den Danske Metode to its warning list.
Monday, 08/08/2016 | 07:26 GMT by Finance Magnates Staff
Regulation

UK FCA Issues Warning Against Forex Broker Inter Global

  • The FCA has warned against another unlicensed entity for soliciting its forex services to UK investors.
Thursday, 04/08/2016 | 16:52 GMT by Finance Magnates Staff
Regulation

FINRA Levies $1.3m Fine on Barclays Capital for Supervisory Failures

  • Regulatory lapses across Barclays Capital's Order Audit Trail System have resulted in a fine from FINRA.
Wednesday, 03/08/2016 | 17:22 GMT by Jeff Patterson
Regulation

Federal Court Orders John Briner to Pay $280,000 Over Money Pass Scheme

  • The Judge Milton I. Shadur levied a fine against Briner for engaging in fictitious futures transactions.
Tuesday, 02/08/2016 | 20:39 GMT by Aziz Abdel-Qader
Executive Moves

ASIC’s Markets Disciplinary Panel Elevates Simon Gray as its Chairman

  • The panel has tapped Simon Gray as its chairman, succeeding Lisa Gay after a period of six years.
Monday, 01/08/2016 | 08:42 GMT by Jeff Patterson
Regulation

State Street Bank to Pay $382m in Settlement of Fraudulent Forex Activities

  • The bank has been ordered to pay penalties for a series of violations relating to clients’ fx transactions.
Wednesday, 27/07/2016 | 06:47 GMT by Finance Magnates Staff
Regulation

CFTC Doles Out Latest Whistleblower Award of $50K

  • The CFTC has awarded its third whistleblower award in the last ten months with the program helping with enforcement.
Tuesday, 26/07/2016 | 16:31 GMT by Jeff Patterson
Thought Leaders

Understanding Binary Options Regulation

  • To date, efforts to regulate the binary options industry has changed the way brokers operate. Will it continue?
Tuesday, 26/07/2016 | 10:18 GMT by Idan Levitov
Regulation

Xtrade Russia Joins Russian Self Regulatory Organization NAFD

  • XTrade is aiming at the Russian market with its latest move to join the recently renamed CRFIN.
Monday, 25/07/2016 | 16:43 GMT by Aziz Abdel-Qader
Regulation

HSBC Investigating Mark Johnson’s Former FX Trades Following Arrest

  • HSBC is relying on a former probe of the bank's FX trades to investigate Johnson's behavior.
Thursday, 21/07/2016 | 20:02 GMT by Jeff Patterson
Regulation

Independent Report Criticizes FCA on Post-Crisis Softness

  • The commissioner overseeing complaints against the FCA calls out the UK financial regulator for being too defensive.
Thursday, 21/07/2016 | 14:37 GMT by Victor Golovtchenko
Retail FX

SFC Warns of Suspicious Activity of Shi Fu Investment Hong Kong

  • Shi Fu Investment Hong Kong has been added to the SFC’s alert list under the banner of suspicious websites.
Wednesday, 20/07/2016 | 07:26 GMT by Finance Magnates Staff
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