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Regulation

FINRA Levies $17 Million Fine on Raymond James for AML Compliance Failures

  • The fine was imposed as a result of systematic failures in the firms' anti-money laundering procedures.
Wednesday, 18/05/2016 | 15:55 GMT by Finance Magnates Staff
Regulation

Russian Regulator More Transparent Than European Ones, Or Is It?

  • The Bank of Russia not only announces which companies are receiving a license, but also those that are denied one
Wednesday, 18/05/2016 | 12:23 GMT by Victor Golovtchenko
Regulation

SEC Calls For Reporting Of Treasury Cash Market Transactions

  • The request is aimed at safeguarding the deepest and most liquid securities market in the world.
Tuesday, 17/05/2016 | 19:29 GMT by Finance Magnates Staff
Regulation

Spain’s CNMV Adds Tiger Asset Management to its Warning List

  • Tiger Asset Management has been blacklisted by the Spanish regulator following unlicenced trading activity.
Tuesday, 17/05/2016 | 12:50 GMT by Finance Magnates Staff
Regulation

MFSA Warns about Alpha Capital Markets Clone, Unauthorized in Malta

  • The company has allegedly been misleading investors by pretending to be regulated.
Monday, 16/05/2016 | 09:28 GMT by Finance Magnates Staff
Regulation

Israeli Forex Head: Only a Few Firms Might Remain in the Market

  • Tzah Druker talks for the first time about the effects of new ISA regulations on the industry.
Monday, 16/05/2016 | 08:43 GMT by Avi Mizrahi
Regulation

BCSC Issues Warning About Binary Options Broker Magnum Options

  • Magnum Options is the latest broker to be flagged for promoting its trading platform to Canadian traders.
Monday, 16/05/2016 | 08:17 GMT by Finance Magnates Staff
Regulation

ASIC Warns About Binary Options Affiliate Website Top Ten Binary Options

  • The Australian watchdog has explicitly targeted an affiliate website that is offering a list of binary options brokers
Monday, 16/05/2016 | 06:50 GMT by Finance Magnates Staff
Regulation

ASX Unveils New Listings Thresholds, Including $1.5M Capital Requirement

  • The ASX has taken efforts to update some of its existing procedures, including raising of capital requirements.
Thursday, 12/05/2016 | 14:47 GMT by Jeff Patterson
Exchanges

Winklevoss Twins’ US Bitcoin Exchange Gemini Adds Ethereum Trading

  • Gemini is now the first American Ethereum exchange approved by the New York Department of Financial Services.
Sunday, 08/05/2016 | 07:57 GMT by Avi Mizrahi
Thought Leaders

Choosing a Forex Broker: Six Factors to Consider

  • There are no costs that are actually hidden, just costs waiting to be discovered.
Friday, 06/05/2016 | 13:38 GMT by Guest Contributors
Regulation

Hong Kong's SFC Adds FX Protrade To Its Warning List

  • FX Protrade is the latest broker to be added to the SFC's list of companies not to conduct business with.
Friday, 06/05/2016 | 07:29 GMT by Finance Magnates Staff
Regulation

FMA Adds Forex Broker FxUnited To Its Warning List

  • New Zealand’s Financial Markets Authority has updated its warning list to include FxUnited for conducting unregulated business.
Thursday, 05/05/2016 | 08:58 GMT by Finance Magnates Staff
Regulation

SEC Charges Brokers For Pocketing $6 Million In Investor Money

  • The brokers raised the money from investors by creating a false sense of urgency and exclusivity around their offering.
Wednesday, 04/05/2016 | 18:00 GMT by Finance Magnates Staff
Regulation

CySEC Head: FX and Binary Options Call Centers May Be Required to Move Here

  • Third country licenses, KYC and the future of binary and call centers: Demetra Kalogerou answers the tough questions.
Tuesday, 03/05/2016 | 11:42 GMT by Finance Magnates Staff
Regulation

FXPA Meeting With UK Regulators to Roll Out Global Code of Conduct

  • The FXPA kicked off a round of meetings with UK institutions, helping solidify a global code of conduct for the FX industry.
Tuesday, 03/05/2016 | 07:08 GMT by Jeff Patterson
Blogs

New Zealand's FSPR Alters Register Requirements

  • The FSPR has changed a series of questions and components of its registration process.
Friday, 29/04/2016 | 06:18 GMT by Sarah Murray
Regulation

New Zealand's FMA Issues Warning Against Hangsiu Group Ltd

  • Financial Markets Authority warns against an unregistered forex brokerage for offering its services to New Zealand residents.
Tuesday, 26/04/2016 | 07:45 GMT by Finance Magnates Staff
Regulation

CySEC Head: IronFX Failed to Identify Misuse of its Bonus System

  • Finance Magnates met Demetra Kalogerou for a special interview, discussing the IronFX story that shook the industry.
Monday, 25/04/2016 | 10:06 GMT by Finance Magnates Staff
Regulation

Financial Commission Expands Membership With Addition of Starfish FX

  • FinaCom's membership continues to grow, this time with FX and CFD broker, Starfish FX.
Thursday, 21/04/2016 | 14:45 GMT by Jeff Patterson
Regulation

ASIC Issues Public Warning About Binary Options Broker uBinary

  • The Australian Securities and Investments Commission has warned against uBinary for soliciting services without a licence.
Thursday, 21/04/2016 | 09:34 GMT by Finance Magnates Staff
Regulation

Canadian Watchdog MSC Issues Warning About Central Option

  • Securities investigator solicited by unregistered binary options broker, resulting in a warning against Central Option.
Thursday, 21/04/2016 | 07:18 GMT by Finance Magnates Staff
Regulation

FCA Will Present Refreshed Website in June

  • After a year of planning and research, the British watchdog is about to present the renewed fca.org.uk website.
Tuesday, 19/04/2016 | 19:50 GMT by Damian Chmiel
Regulation

Canadian Watchdog MSC Warns About FMTrader

  • Social media ad leads Manitoban to financial peril and results in a warning about binary options broker, FMTrader.
Tuesday, 19/04/2016 | 09:54 GMT by Finance Magnates Staff
Regulation

Belgian FSMA Issues Warning Against 15 Forex And Binary Options Brokers

  • The FSMA has issued a warning to the public against a list of brokers engaging in unlawful activities in Belgium.
Monday, 18/04/2016 | 14:18 GMT by Finance Magnates Staff
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