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Regulation
Europe's Economic Crossroads: Recession Fears and S&P Global's
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regulation
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Regulation
SEC Charges Former Football Player For Running $10 Million Fraud
2016-08-11T09:21:00.000+02:00
The perpetrators used the funds raised from investors to pay for personal expenses and to repay earlier investors.
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Regulation
Financial Commission Inks MoU with Belarus’ ARFIN
2016-08-10T23:01:36.000+02:00
The MoU will look to secure more favorable trading conditions for FX market participants in Belarus.
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Regulation
CySEC Imposes €2,000 Fine on M&L Invest Union Markets
2016-08-10T16:11:40.000+02:00
Yet another forex brokerage has been fined by the Cyprus regulator.
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Regulation
SFC Fines Lam Chun Yin and Yeung Chok Cheong for Share Trading Violations
2016-08-10T12:21:24.000+02:00
The pair have been fined a total of $162,830, representing the profits made by each of them from trading shares.
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Regulation
Hong Kong SFC Warns Against Fox Capital Partners
2016-08-10T10:36:44.000+02:00
Hong Kong’s watchdog has included a further unlicensed entity to its warning list.
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News
DC Cryptocurrency Lobby Turns Against California's Bitcoin License Bill
2016-08-10T08:54:42.000+02:00
Coin Center says that California's proposed new law is "bad news for anyone who loves Bitcoin and blockchain technology."
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Execution
Divergence Between EU/US Law Could Create Regulatory Headwinds - SWIFT
2016-08-09T17:08:31.000+02:00
Several regulatory hurdles exist with upcoming legislation between the EU and the US.
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Jeff Patterson
Regulation
Binary Options Affiliate Website Targeted by Danish Financial Watchdog
2016-08-08T09:26:00.000+02:00
The Danish FSA has today added binary options affiliate website Den Danske Metode to its warning list.
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Regulation
UK FCA Issues Warning Against Forex Broker Inter Global
2016-08-04T18:52:02.000+02:00
The FCA has warned against another unlicensed entity for soliciting its forex services to UK investors.
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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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Jeff Patterson
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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Aziz Abdel-Qader
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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Jeff Patterson
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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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Idan Levitov
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
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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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Jeff Patterson
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
Next
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