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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
AIMS Enters Official Partnership with Italian Lamborghini Brand
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
AIMS Enters Official Partnership with Italian Lamborghini Brand
Thought Leadership
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regulation
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Regulation
CySEC Warns Brokers About Providing Investment Advice, High-Pressure Sales
2016-06-28T15:02:10.000+02:00
High-pressure sales tactics are to be phased out and client support staff must use real names.
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Exchanges
Is the Futures Market Ready for Self-Regulation?
2016-06-28T13:55:38.000+02:00
With market abuse wider than ever before, can exchanges and entities be trusted to police themselves?
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Regulation
Canada’s BCSC Agrees Settlement of $125,000 with Asia Finance
2016-06-28T10:31:46.000+02:00
Asia Finance was found to have promoted its services to respective clients without being authorised to do so.
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Payments
SWIFT Christens New Round of Funding for Security Measures
2016-06-27T17:00:57.000+02:00
SWIFT remains committed to combating cyber breaches following the endorsement of a new program.
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Regulation
CNMV Warns the Public on SFKK Trading Solutions and TDB Options
2016-06-27T12:26:46.000+02:00
Two more entities have been flagged by the Spanish regulator following unlicenced trading activities.
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Regulation
FCA Issues Statement Detailing Impact of Brexit on Financial Regulation
2016-06-24T11:04:07.000+02:00
The financial watchdog has issued a statement outlining its reaction to the Brexit Leave vote.
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Regulation
Alpari and Gerchik & Co Acquire Belorussian Forex Licenses
2016-06-23T21:33:53.000+02:00
Currently six companies possess the regulatory permissions necessary to operate in the country.
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Regulation
SEC Stops Scheme Defrauding Athletes Dead in its Tracks
2016-06-22T09:16:56.000+02:00
The SEC has charged an investment adviser with secretly siphoning millions of dollars from accounts he managed for athletes.
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Regulation
China Probes Guotai Junan Securities for Statutory Failures
2016-06-17T11:29:57.000+02:00
Two brokers including are being investigated for alleged failures to fulfill their statutory duties.
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Regulation
SEC Charges Hedge Fund Managers in $32m Insider Trading Scheme
2016-06-15T18:48:20.000+02:00
Sanjay Valvani reaped unlawful profits by insider trading on tips he received from a former government official.
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Regulation
SFC Fines Schroder Investment Management $1.8m For Disclosure Failures
2016-06-15T16:05:39.000+02:00
The SFC penalises another entity for failing to disclose all notifiable interests in Hong Kong listed shares.
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Regulation
Two Canadian HSBC Subsidiaries Settle with BCSC for $320K
2016-06-15T14:51:34.000+02:00
Two of HSBC's Canadian investment subsidiaries were found to have levied excess fees on their respective clients.
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Regulation
CySEC Warns Against Individuals Posing As CySEC Officers
2016-06-10T14:58:14.000+02:00
Unknown individuals have falsely been presenting themselves as CySEC officers using fake email addresses.
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Regulation
CySEC Regulated Glestimon Management Renounces CIF Licence
2016-06-10T14:08:51.000+02:00
Glestimon Management is no longer licensed and regulated by CySEC and has been given three months to settle its obligations.
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Regulation
SEC Offers $17m Whistleblower Reward in Bid to Curb Illicit Activity
2016-06-09T20:03:16.000+02:00
The SEC has offered a $17m reward for any individual helping provide tangible assistance or tips to an investigation.
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Payments
Hacking Threat Imminent? US Sees Interbank Payment Network Vulnerability
2016-06-09T19:48:02.000+02:00
US regulators have issued a number of warnings since an attempted heist of $1b attempted through SWIFT systems.
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Execution
NetOTC Suspends Market Infrastructure Initiative, Citing Regulatory Challenges
2016-06-09T17:59:33.000+02:00
NetOTC's promising initiative has stalled after being halted indefinitely by regulatory hurdles.
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Regulation
Ebullio Head No-Show for Trial, £100k Judgement
2016-06-09T09:04:05.000+02:00
Judgement of £100k goes against the head of Ebullio Capital Management, Lars Steffensen, who failed to appear at court.
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Execution
Webb Traders Integrates Itiviti's Market Abuse Regulation Module
2016-06-06T18:15:21.000+02:00
Webb Traders has leaned on Itiviti Analyst MAR to bolster its compliance efforts ahead of a fresh round of EU regulation.
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Regulation
IIFM Introduces Sharia-Compliant Forex Forward Standards
2016-06-06T13:11:03.000+02:00
The new standards are designed to improve on hedging practices in the sector as well as providing better tools to manage risk.
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Regulation
ASIC Charges Two Traders for Insider Trading
2016-06-06T08:58:46.000+02:00
In separate cases, two Australian traders have been found guilty of insider trading conspiracies.
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Analysis
Regulation Pushed Half Out, Will Any FX Brokers Remain in Israel?
2016-06-05T12:08:35.000+02:00
Players in the industry talk about the effects of the regulatory process in Israel.
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Avi Mizrahi
Regulation
SEC Charges Trader For Defrauding Investors and Hiding $16 Million Losses
2016-06-03T10:00:23.000+02:00
The SEC is seeking a permanent injunction and the return of alleged ill-gotten gains for Park’s fraudulent trading activities.
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Exchanges
FINRA Slaps $900K Fine on E*Trade for Execution Failings
2016-06-02T18:01:27.000+02:00
FINRA ruled that E*Trade’s customer orders to exchanges and market centers were not executed in a proper fashion.
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Regulation
SWIFT Rolls Out New Customer Security Program Following Recent Breach
2016-05-31T20:43:37.000+02:00
SWIFT has issued a five-point plan to fortify security measures across its network.
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Next
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