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Regulation
Europe's Economic Crossroads: Recession Fears and S&P Global's
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Regulation
Financial Commission Expands Membership With Addition of Starfish FX
2016-04-21T16:45:06.000+02:00
FinaCom's membership continues to grow, this time with FX and CFD broker, Starfish FX.
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Regulation
ASIC Issues Public Warning About Binary Options Broker uBinary
2016-04-21T11:34:03.000+02:00
The Australian Securities and Investments Commission has warned against uBinary for soliciting services without a licence.
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Regulation
Canadian Watchdog MSC Issues Warning About Central Option
2016-04-21T09:18:00.000+02:00
Securities investigator solicited by unregistered binary options broker, resulting in a warning against Central Option.
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Regulation
FCA Will Present Refreshed Website in June
2016-04-19T21:50:46.000+02:00
After a year of planning and research, the British watchdog is about to present the renewed fca.org.uk website.
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Regulation
Canadian Watchdog MSC Warns About FMTrader
2016-04-19T11:54:36.000+02:00
Social media ad leads Manitoban to financial peril and results in a warning about binary options broker, FMTrader.
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Regulation
Belgian FSMA Issues Warning Against 15 Forex And Binary Options Brokers
2016-04-18T16:18:07.000+02:00
The FSMA has issued a warning to the public against a list of brokers engaging in unlawful activities in Belgium.
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Regulation
Credit Suisse Facing Penalty For Leaking Company Information
2016-04-15T14:31:50.000+02:00
The Japanese securities watchdog has recommended that Credit Suisse receives punishment for leaking information.
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News
Ex-Regulator and BitLicense Creator Helps Blockchain Firms After All
2016-04-14T11:03:29.000+02:00
The former “Sheriff of Wall Street” is now representing a firm creating blockchain solutions for the big banks.
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Regulation
ISDA Publishes New Margin-Rule-Compliant Collateral Document
2016-04-14T10:57:51.000+02:00
The first in a series of documents to help market participants comply with new margining requirements has been published.
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Regulation
Research Analyst Charged With Insider Trading On Major Buyout Deal
2016-04-14T09:27:08.000+02:00
SEC has charged research analyst with insider trading and raking in $1.5 million on the Apollo Global Management/ADT deal.
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Regulation
Japan’s MoF Bureau Warns Against TR Binary Options
2016-04-12T11:56:54.000+02:00
Japan’s Kanto Financial Bureau warns that TR Binary Options is not permitted to solicit Japanese investors.
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Regulation
FMA Steps Up Call For Oversight Against FX Products, Services
2016-04-12T11:34:21.000+02:00
Offshore FX companies have been the Achilles heel of the FMA.
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Regulation
CNMV Warns Investors About IBA Markets
2016-04-11T14:48:31.000+02:00
Spain’s financial watchdog adds unregistered FX broker IBA Markets to its warning list.
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Regulation
Cyprus Revises AML Rules to Require Face-to-Face Meetings for KYC
2016-04-08T23:16:13.000+02:00
Will Cyprus’ latest move clean up its banking and corporate industry?
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News
The Jobs Act Future of US Capital Markets, Dancing Reg A, and Millennials
2016-04-08T00:22:09.000+02:00
Leading minds in capital-raising talk about the coming changes in America.
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Regulation
Moody’s Forced to Pay $11M Over “Red Flags" Report
2016-04-05T14:16:03.000+02:00
SFAT has affirmed the SFC’s previous decision and fined Moody’s $11 million for painting a misleading picture of Chinese companies.
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Brokers
Exclusive: Two Law Firms to Start Class Action Against LBinary and NRGbinary
2016-04-01T16:17:37.000+02:00
Giambrone Law and Healys LLP are representing close to 70 clients who lost over €4.3 million.
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News
US Fintech Regulation Taking Shape? New White Paper Slated for Release
2016-03-29T20:23:09.000+02:00
US regulators have recently focused their attention onto the fintech space.
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Execution
Green Key Technologies Rolls Out Voice Quote Tool For Testing
2016-03-24T17:10:08.000+02:00
The voice quote tool will be available for all Symphony Communication users.
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Regulation
Australia: Former Stockbroker Facing Up To 12 Years In Jail
2016-03-24T11:42:31.000+02:00
Australian stockbroker charged for using over $1.5m of client funds for his own use.
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Regulation
Canadian Regulators Take Stance on Binary Options in Canada
2016-03-23T19:36:53.000+02:00
All 13 regulators in Canada warn residents to beware of binary options.
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Regulation
LIBOR Conspirator Tom Hayes Ordered to Pay £878k Fine
2016-03-23T16:49:15.000+02:00
Tom Hayes was given a confiscation order of £878k for LIBOR manipulation
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Executive Moves
SFC Taps Thomas Atkinson as Executive Director of Enforcement
2016-03-23T14:13:42.000+02:00
The OSC's Thomas Atkinson will join the SFC as its Director of Enforcement.
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News
FCA, ASIC Ink FinTech Deal, Easing Barriers to Entry For Startups
2016-03-23T12:38:41.000+02:00
The FCA and ASIC have signed a new agreement in both UK and Australia.
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Regulation
CySEC Annual Report Marks €2.65 million in Fines Against CIFs
2016-03-21T22:47:27.000+02:00
While its enforcement actions have been widely successful in filling up the government coffers, clients have been left behind.
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