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Regulation

Moody’s Forced to Pay $11M Over “Red Flags" Report

  • SFAT has affirmed the SFC’s previous decision and fined Moody’s $11 million for painting a misleading picture of Chinese companies.
Tuesday, 05/04/2016 | 12:16 GMT by Damian Chmiel
Brokers

Exclusive: Two Law Firms to Start Class Action Against LBinary and NRGbinary

  • Giambrone Law and Healys LLP are representing close to 70 clients who lost over €4.3 million.
Friday, 01/04/2016 | 14:17 GMT by Victor Golovtchenko
News

US Fintech Regulation Taking Shape? New White Paper Slated for Release

  • US regulators have recently focused their attention onto the fintech space.
Tuesday, 29/03/2016 | 18:23 GMT by Jeff Patterson
Execution

Green Key Technologies Rolls Out Voice Quote Tool For Testing

  • The voice quote tool will be available for all Symphony Communication users.
Thursday, 24/03/2016 | 15:10 GMT by Jeff Patterson
Regulation

Australia: Former Stockbroker Facing Up To 12 Years In Jail

  • Australian stockbroker charged for using over $1.5m of client funds for his own use.
Thursday, 24/03/2016 | 09:42 GMT by Finance Magnates Staff
Regulation

Canadian Regulators Take Stance on Binary Options in Canada

  • All 13 regulators in Canada warn residents to beware of binary options.
Wednesday, 23/03/2016 | 17:36 GMT by Steven Hatzakis
Regulation

LIBOR Conspirator Tom Hayes Ordered to Pay £878k Fine

  • Tom Hayes was given a confiscation order of £878k for LIBOR manipulation
Wednesday, 23/03/2016 | 14:49 GMT by Jeff Patterson
Executive Moves

SFC Taps Thomas Atkinson as Executive Director of Enforcement

  • The OSC's Thomas Atkinson will join the SFC as its Director of Enforcement.
Wednesday, 23/03/2016 | 12:13 GMT by Jeff Patterson
News

FCA, ASIC Ink FinTech Deal, Easing Barriers to Entry For Startups

  • The FCA and ASIC have signed a new agreement in both UK and Australia.
Wednesday, 23/03/2016 | 10:38 GMT by Jeff Patterson
Regulation

CySEC Annual Report Marks €2.65 million in Fines Against CIFs

  • While its enforcement actions have been widely successful in filling up the government coffers, clients have been left behind.
Monday, 21/03/2016 | 20:47 GMT by Victor Golovtchenko
Data

Gresham's CTO: "Our engine borrows from many aspects of CEP"

  • An exclusive interview with two members of the firm's senior management.
Friday, 18/03/2016 | 08:01 GMT by Steven Hatzakis
News

FINMA Embarks On Plan To Facilitate FinTech Innovation

  • FINMA has taken steps towards facilitating fintech innovation via licensing.
Thursday, 17/03/2016 | 12:26 GMT by Jeff Patterson
Blogs

The Past, Present, and Future of Asset Segregation

  • The implications of the EMIR regulations for OTC derivatives raise a number of issues with regard to client retention.
Thursday, 10/03/2016 | 16:31 GMT by Guest Contributors
Execution

Equiniti Acquires Risk Factor and KYCnet

  • Equiniti has completed an acquisition of both Risk Factor and KYCnet BV as it looks to bolster a regulatory focus.
Tuesday, 08/03/2016 | 12:19 GMT by Jeff Patterson
Regulation

FMA Warns Against DGM Service Markets Limited

  • The foreign exchange brokerage offering its services via the dgmfx.com website came under the watchful eye of the local market regulator and was added to its warnings list.
Tuesday, 08/03/2016 | 09:48 GMT by Damian Chmiel
Execution

Algorithms' Secret Sauce, Senate Banking Committee Talks with SEC and FINRA

  • The latest challenges discussed in the US Senate hearing hint at changes to how future markets may operate.
Monday, 07/03/2016 | 22:00 GMT by Steven Hatzakis
Brokers

CySEC Suspends License of Pegase Capital Ltd, Has One Month to Comply

  • The Cyprus-based operator of HelloBrokers, Interactive Option and MTX Plus, offering FX, CFDs, and binary options, has had its license frozen.
Friday, 04/03/2016 | 16:56 GMT by Steven Hatzakis
Regulation

FXDD Joins Bitcoin Broker BitPlutos and DashOption with Warnings from Japan

  • With the majority of FXDD users originating from Japan, the forex broker now finds itself on the country's list of unauthorized brokers.
Wednesday, 02/03/2016 | 09:01 GMT by Ron Finberg
Executive Moves

FDRS Appoints Jennifer Mahony as Scheme Director, Succeeding Stuart Ayres

  • Ms. Mahoney succeeds Stuart Ayres, who has been its Scheme Director for over five years with FDRS.
Friday, 26/02/2016 | 10:40 GMT by Jeff Patterson
Regulation

When it's time to Pull-out, Before Getting Barred, NFA Bars CTA

  • NFA member firm TGI Capital Management Limited barred over repeated late filings and unresponsiveness, has 15 days to appeal and respond.
Thursday, 25/02/2016 | 22:08 GMT by Steven Hatzakis
Regulation

When it's Time to Pull Out Before Getting Barred - NFA Bars CTA

  • NFA member firm TGI Capital Management Limited barred over repeated late filings and failure to respond, has 15 days to respond and appeal.
Thursday, 25/02/2016 | 22:08 GMT by Steven Hatzakis
Regulation

ASIC Suspends AFS License of Traders4Traders

  • The Australian regulator suspends the license of an AFS firm operated from T4Tcapital.com until April 21, 2016 citing unfiled statements.
Wednesday, 24/02/2016 | 06:36 GMT by Steven Hatzakis
Executive Moves

Changing of the Guard: China’s Regulatory Chairman to Relinquish Post

  • Xiao Gang is stepping down as the head of the CSRC, paving the way for his replacement by Liu Shiyu.
Friday, 19/02/2016 | 15:34 GMT by Jeff Patterson
Bloggers

The Rise of RegTech Across Capital Markets

  • Capital markets technology companies have narrowed their focus and increased their market share by specialising in niche sub segments.
Friday, 19/02/2016 | 15:05 GMT by Guest Contributors
Bloggers

What is Expected in 2016 from Fintech Markets?

  • M&A activity is slated to increase in 2016 while expectations could see a shift in the market from fees to trust.
Friday, 19/02/2016 | 11:04 GMT by Vassil Nikolov
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