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Regulation

CFTC Orders ABN AMRO Clearing to Pay $1 Million to Settle Charges

  • The CFTC has announced that it has ordered ABN AMRO Clearing Chicago LLC to pay $1 million to settle charges against the firm. The charges include failing to segregate or secure sufficient customer funds and meet minimum capital requirements.
Wednesday, 19/06/2013 | 14:34 GMT by Ron Finberg
Brokers

Is WebMoney the Next Liberty Reserve?

  • Since the seizure of Liberty Reserve’s operations last month, it has put all alternative payment providers in focus. Coming into the spotlight now is WebMoney, as its Ukrainian unit was the subject of a raid an bank account freeze.
Wednesday, 19/06/2013 | 09:48 GMT by Ron Finberg
Payments

European Payments Council Drops Investigation into E-Payment Standards

Wednesday, 19/06/2013 | 00:00 GMT by FMAdmin Someone
Regulation

CFTC Says Pay Up! US Regulator Orders Puerto Rican Firm To Pay $1,593,444 For FX Fraud

  • The Commodity Futures Trading Commission today obtained a court order against Angel F Collazo and his companies ACJ Capital LLC and Solid View Capital LLC for FX fraud, resulting in a $750,000 fine and $843,444 in restitutions.
Tuesday, 18/06/2013 | 16:38 GMT by Andrew Saks McLeod
Exchanges

NFA Signs Agreement with TeraExchange to Provide Regulatory Services to its Swap Execution Facility

  • The NFA and TeraExchange have announced that they have signed an agreement where the NFA will provide regulatory services for TeraExchange’s SEF. The agreement finalizes TeraExchange’s evolvement from an EBOT to a SEF.
Tuesday, 18/06/2013 | 15:38 GMT by Ron Finberg
Analysis

Australian Regulator Goes Light on Dark Pools - Recognizes HFT and Dark Liquidity as Part of Financial Landscape

  • ASIC joins the international debate on high-frequency trading, today releasing a refined set of rules for HFT and dark pool liquidity. The regulator has refrained from imposing restrictions such as resting times.
Tuesday, 18/06/2013 | 10:24 GMT by Andrew Saks McLeod
Regulation

Westward Ho! Admiral Markets Gains FCA Regulation; Seeks UK and European Client Base

  • Estonian forex broker Admiral Markets today announced that the United Kingdom's Financial Conduct Authority has granted a license to the company, allowing expansion into Britain and Western Europe.
Monday, 17/06/2013 | 15:01 GMT by Andrew Saks McLeod
Regulation

Gotcha! Singapore's MAS Cites 133 FX Traders for Attempts To Manipulate Regulatory Benchmarks

  • Singapore's MAS identified 133 traders engaging in what the regulator describes as intentionally influencing the financial benchmarks after a year-long review of the industry. Strict adherence to new benchmarks required.
Monday, 17/06/2013 | 09:56 GMT by Andrew Saks McLeod
Regulation

Binary Options Broker TDOptions Gets Fined €50,000 By CySec

  • Cyprus Securities and Exchange Commission issues €50,000 fine against binary options broker TDOptions for violating rules relating to firms offering financial services in the country without necessary authorisation.
Friday, 14/06/2013 | 10:56 GMT by Adil Siddiqui
Brokers

Technocash Closing Under Liberty Reserve Damage

  • Falling under pressure from investigations related to Liberty Reserve, payment provider Technocash is shutting down. They stated local banks placing restrictions on the company as leading to the decision.
Thursday, 13/06/2013 | 10:50 GMT by Ron Finberg
Brokers

CFTC Reports April FCM Data – FXCM Rises and OANDA Declines

  • The CFTC reported April financial data for reporting FCMs. For forex firms, there was very little change, as total Retail Forex Funds dropped $177,260 to $647,759,923. Among gainers, FXCM saw account growth of $4.9 million
Thursday, 13/06/2013 | 08:00 GMT by Ron Finberg
Regulation

Regulation, Eh? - Ontario Regulator Seeks Comment On Procedure For Derivatives Reporting and Definition

  • Canada's Province of Ontario has published a set of proposed rulings on definition of derivatives and the methods by which they should be reported. The OSC invites comment on its proposals pre-implementation.
Thursday, 13/06/2013 | 07:57 GMT by Andrew Saks McLeod
Regulation

3 Indian Banks Fined for KYC and AML Breaches

  • India’s top three private banks, HDFC, Axis bank and ICICI have been charged by the country’s central bank for breaches in relation to Know Your Customer (KYC) and Anti Money Laundering (AML) procedures.
Wednesday, 12/06/2013 | 16:19 GMT by Adil Siddiqui
Brokers

Russia’s State Duma Approves Forex Legislature in First Reading

  • Leading Russian Forex SRO CRFIN announced that forex regulation legislation has passed a first reading at the State Duma. According to CRFIN, the draft is based on guidelines and support from the SRO.
Wednesday, 12/06/2013 | 12:24 GMT by Ron Finberg
Regulation

Buyer Beware: The British Regulator Is After Rate Manipulations in the FX Markets

  • Allegations of front-running FX prices have come to the forefront again, this time attracting the attention of the FCA. Sources from the industry spoke to us about this practice, supplying us information from within.
Wednesday, 12/06/2013 | 11:05 GMT by Andrew Saks McLeod
Regulation

SEC Fines CBOE $6 Million for Short Selling Failures

  • The SEC, has fined CBOE for a $6 million fine after the exchange was found violating regulations relating to abusive short selling, the regulator also found various systemic breakdowns in the exchange's regulations.
Tuesday, 11/06/2013 | 19:08 GMT by Adil Siddiqui
Regulation

Britain's FCA Begins To Flex Its Muscles - Xcap Fined For CASS Ruling Transgression

  • Britain's new regulatory authority, the FCA, has brought about its first case in relation to the security of client funds, having fined Xcap £120,900 for weak client asset procedures under new percentage-based tariff.
Tuesday, 11/06/2013 | 10:38 GMT by Andrew Saks McLeod
Brokers

Spot or Swap? CFTC Defines Rolling Spot Transactions As Swap In Retail FX

Monday, 10/06/2013 | 19:00 GMT by Andrew Saks McLeod
Regulation

The Aftermath of US Regulatory Warning Against Binary Options – Software Providers to Partner with NADEX

  • The United States regulatory authorities' position is unquestionable when it comes to the legalities of off-exchange binary options being marketed within its jurisdiction - The message is clear: Caveat Emptor!
Monday, 10/06/2013 | 13:55 GMT by Andrew Saks McLeod
Regulation

ASIC Puts An End to the Aussie Rob Lifestyle. Murray Priestley Receives Three Year Ban

  • Australian regulator ASIC has banned former CEO of Lifestyle Group from providing any form of financial services for three years after misleading statements relating to the functionality of forex software were made.
Monday, 10/06/2013 | 08:02 GMT by Andrew Saks McLeod
Regulation

US Binary Clampdown - SEC Follows CFTC In Issuance of Investor Warnings and Enters Charge Against Banc De Binary

  • Further to yesterday's announcement by the CFTC that it intends to charge Banc de Binary for offering off-exchange binary options in the US, the SEC today cites the firm for the same transgression.
Friday, 07/06/2013 | 08:32 GMT by Andrew Saks McLeod
Regulation

Looking for a Job? The NFA is Hiring

  • The NFA has announced that they approved their Fiscal Year 2014 budget. The budget, for the fiscal year which starts on July, 1 2013 is for $74 million, an 18% increase above last year, with the majority going towards new hiring
Thursday, 06/06/2013 | 20:16 GMT by Ron Finberg
Exchanges

Compliance Through Alliance - BTC Global Introduces Crowdsourced Bitcoin Regulation

  • Is crowdsourced regulation for bitcoin startups the future of the industry? BTC Global thinks so as they announced 'Compliance through Alliance' in what they call a Massive Parallel Licensing program
Thursday, 06/06/2013 | 17:25 GMT by Ron Finberg
Regulation

Banc De Binary Gets Charged by the CFTC - Investor Warning Also Issued Across The US

  • Binary options firm Banc de Binary falls foul of US regulator CFTC for violating the off-exhange options trading ban and operating as an unlicenced FCM despite claiming to be based in New York's Wall Street.
Thursday, 06/06/2013 | 17:09 GMT by Andrew Saks McLeod
Regulation

New Zealand FMA Gains Regulatory Powers. AML Procedure Becomes Effective June 30

  • New Zealand's regulatory authorities have confirmed that the FMA will require Anti-Money Laundering procedures to be adhered to, as well as surveillance and monitoring of compliance with such rulings from June 30.
Thursday, 06/06/2013 | 12:30 GMT by Andrew Saks McLeod
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