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Regulation
Europe's Economic Crossroads: Recession Fears and S&P Global's
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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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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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Payments
PayPal Suspends Activities in Turkey Following Regulatory Impasse
2016-05-31T16:25:09.000+02:00
PayPal is suspending all its activities in the country on June 6 following a new rule from Turkish regulators.
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Regulation
Canadian Regulator BCSC Issues Warning About Ava Trade
2016-05-31T12:51:23.000+02:00
Ava Trade is the latest broker to be flagged by the BCSC for advertising its trading platform within its jurisdiction.
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News
Flat6Labs Synergy with UAE Regulator to Support Fintech in Abu Dhabi
2016-05-31T10:16:14.000+02:00
Abu Dhabi Global Market regulator FSRA inks MoU with Flat6Labs for fintech.
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Regulation
Spain’s CNMV Warns The Public Against Unregulated Firm Trading Forex
2016-05-30T21:11:04.000+02:00
CNMV has issued a warning against Trading Forex, adding it to the list of entities forbidden to solicit their services.
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Executive Moves
France’s AMF Appoints Franck Guiader to Head New Fintech Regulatory Division
2016-05-30T20:09:51.000+02:00
AMF's Fintech, Innovation and Competitiveness (FIC) division opens June 1st.
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Regulation
iFOREX Gives Up on Israeli Licensing Process, Leaves the Market
2016-05-30T16:28:11.000+02:00
Clients of iFOREX in Israel are requested to close all positions by Monday, June 6th.
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Regulation
SFC Fines Hong-Kong Based Guotai Junan Securities $1.3 million
2016-05-30T13:45:57.000+02:00
Hong Kong’s SFC imposes fine for failure to comply with its regulatory requirements regarding client identity.
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Regulation
Japan’s Kanto Bureau Warns Against HighTrade FX
2016-05-30T09:46:12.000+02:00
Kanto Bureau has issued a warning to the public that HighTrade FX is not authorised to solicit Japanese investors.
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Institutional FX
Ebullio Saga Continues As Investor Enforces Judgement
2016-05-29T09:31:35.000+02:00
Enforcement action comes amid greater scrutiny of commodities hedge fund Ebullio’s assets
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Payments
SWIFT Investigation Expands to 12 Banks After Attempted $1b Heist
2016-05-27T16:31:16.000+02:00
The investigation has expanded to 12 banks as independent firms have established a link to previous hackings.
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Next
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