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Regulation

Canadian Dollar’s Volatility Elicits Margin Requirement Hike in Select Pairs

Monday, 09/03/2015 | 10:14 GMT by Jeff Patterson
Regulation

Foreign Exchange Ponzi Scheme Perpetrator Jailed After FCA Charges

  • UK court of law sentenced Philip Boakes to ten years in prison after defrauding his victims of £3.5 million through his company, CurrencyTrader Ltd, claiming to be investing their funds in spread betting.
Friday, 06/03/2015 | 18:14 GMT by Victor Golovtchenko
Regulation

Hungary Securities Co Suspended - Central Bank Takes over Citing Irregularities

  • Hungary's central bank reported that it has suspended a domestic broker dealer. Hungary Securities Co will be taken over by the central bank as it deals with the administration of the firm.
Friday, 06/03/2015 | 11:24 GMT by Adil Siddiqui
Regulation

UK Regulator Fines Middle Eastern Origin, Bank Of Beirut $3.2 Mln -Major Breaches

  • A UK regulated bank has been fined by the FCA for improper communication with the watchdog. Bank of Beirut faces a $3.2 monetary penalty for misleading authorities as well as suspension from acquiring new clients from high-risk countries.
Friday, 06/03/2015 | 09:49 GMT by Adil Siddiqui
Regulation

Emphatic FX Managed Account Suspended Whilst NFA Digs Deep during Investigation

Friday, 06/03/2015 | 07:23 GMT by Adil Siddiqui
Regulation

How Can Brokers Avoid Regulators' Crackdown On Copy Trading?

  • As the FCA and ASIC apply tough measures inspecting copy trading, brokers have some leeway in managing a social portfolio. Our latest Bloggers' contributor on board, legal officer Sophie Gerber, weighs in.
Thursday, 05/03/2015 | 15:10 GMT by Sophie Gerber
Regulation

ESMA Signs MoU with RBA Enabling Access To European Trade Repositories

Thursday, 05/03/2015 | 14:57 GMT by Jeff Patterson
Regulation

UK Serious Fraud Office Investigates "Ethical" Investment Company

  • This past week the SFO carried out two search warrants in Hertfordshire. It is asking anyone who invested in either Global Forestry Investments or Global Forex Investments to complete a questionnaire on the SFO website.
Sunday, 01/03/2015 | 09:53 GMT by Kenny Mariasin
Regulation

NFA Issues Permanent Ban on Chazon QTA Trading Artists, Lawrence Fejokwu

Friday, 27/02/2015 | 20:01 GMT by Jeff Patterson
Regulation

UK Watchdog Warns about Ftradition, a Suspected Seychelles Clone

  • The regulator says FTradition is passing itself off as a member of the Tradition Group which is an international firm of brokers that is FCA authorised.
Wednesday, 25/02/2015 | 15:38 GMT by Avi Mizrahi
Regulation

FCA Slaps Aviva Investors with $26 Mln Penalty

  • Aviva Investors was fined by the Financial Conduct Authority for systems and control failures. The investment management firm failed to manage conflicts of interests, resulting in Aviva paying $204 million in compensation.
Wednesday, 25/02/2015 | 11:03 GMT by Adil Siddiqui
Regulation

Belgian Watchdog Warns against Unauthorised Brokers Operating in Belgium

  • BANK&BINARY, Broker International Bank, Financial Broker, F&C Management Limited, SIA Europe Trade Services, FXGL Capital, HCI Fund, Royal Broker, G.O. LIMITED, BfmMarkets, BoursoMarket, Bankandcapital and OBinary Corporation.
Monday, 23/02/2015 | 13:08 GMT by Avi Mizrahi
Regulation

$3.9 Mln Penalty and 8-Year Jail Term for Fraudster Behind Revelation Forex Fund

  • A US judge has handed out a lengthy sentence to Kevin White of KGW Capital for operating a fraudulent currency fund. The fraudster will face a 97 month jail sentence and is to pay $3.9 million in restitution.
Thursday, 19/02/2015 | 23:21 GMT by Adil Siddiqui
Regulation

CySEC Cautions Investors about Talanto Capital Markets

  • The Cyprus Securities and Exchange Commission issued a statement today informing investors that the company Talento Capital Markets (Cyprus) is not permitted to provide investment and ancillary services in the country.
Thursday, 19/02/2015 | 15:44 GMT by Kenny Mariasin
Regulation

Bulgarian Regulator Warns Against Prospective Interactive Brokers Clone

  • The entity Global Markets Ltd. has changed its name to Interactive Brokerage Ltd., which is dangerously close the to US-listed and CFTC-regulated brokerage Interactive Brokers while continuing to on-board clients.
Tuesday, 17/02/2015 | 15:44 GMT by Victor Golovtchenko
Regulation

New Zealand Registered Ukrainian Broker Forex Trend Blacklisted by CRFIN

  • After Alpari Russia has openly stated that the Ukrainian brokerage registered in New Zealand, Forex Trend, violated its rights on the “PAMM account” trademark, the Russian self-regulatory organization takes action.
Monday, 16/02/2015 | 13:15 GMT by Victor Golovtchenko
Regulation

As Bitcoin ECN's Grow, the Financial Commission Extends Cryptocurrency Regulation to LPs

  • The Financial Commission, a self-regulation oversight committee for the forex, CFD and binary options industries, has announced the launch of regulation for cryptocurrency liquidity providers.
Monday, 16/02/2015 | 11:13 GMT by Ron Finberg
Regulation

Australian Regulator Cancels License of FX Broker Enfinium Post-Mortem

  • After an investigation into the broker’s alleged virtual dealer malpractices between 2010 and 2013 yielded no results due to the company not maintaining adequate records of its operations, ASIC cancelled its license.
Monday, 16/02/2015 | 10:21 GMT by Victor Golovtchenko
Regulation

EU Leaders in Favour of European Commission’s Proposals on Libor and Financial Benchmarks

  • The European Council, an EU institution of heads of states has commended the measures taken by the European Commission in its proposals to enhance confidence in the system following recent scandals involving major banks.
Friday, 13/02/2015 | 19:14 GMT by Adil Siddiqui
Regulation

ASIC Implements Alterations to OTC Derivatives Reporting

Friday, 13/02/2015 | 06:51 GMT by Jeff Patterson
Regulation

Ontario Securities Commission Issues Warning Against Costa Rican Chikara FX

  • Canadian investors have been advised by regional financial watchdog, Ontario Securities Commission, to refrain from dealings with the international managed and non-discretionary forex accounts provider Chikara FX.
Thursday, 12/02/2015 | 21:54 GMT by Adil Siddiqui
Regulation

Financial Reform: All for One and One for All

  • When it comes to reforming financial markets, regulation has a role to play but can only ever be part of the answer and not a panacea. It is education, more than regulation, that will be key.
Wednesday, 11/02/2015 | 18:38 GMT by Guest Contributors
Regulation

CySEC Blows The Whistle for CIFs, While Waving a White Flag on Capital Requirements

  • As the regulator reminded brokerages to check on their risk policies a new law has lowered capital requirements for Cyprus Investment Firms at a key time just before a number of brokerages got hit by the SNB move.
Wednesday, 11/02/2015 | 15:55 GMT by Victor Golovtchenko
Regulation

Global Futures Exchange Settles with NFA for $65,000

  • Global Futures settles with the NFA in a case about "failure to maintain complete and accurate financial records, prepare accurate net capital computations, and comply with the equity withdrawal restriction."
Tuesday, 10/02/2015 | 08:36 GMT by Ron Finberg
Execution

FXPA Adds Hotspot and Integral as Institutional Members

  • Ahead of voting of its board and officer members, the FXPA foreign exchange industry group is welcoming Integral and Hotspot as its two newest institutional members.
Monday, 09/02/2015 | 14:42 GMT by Ron Finberg
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