Preview Mode

FM Home
> Regulations
Exploring CFD Trading Platforms and Tools for Beginners and
Education Center
The Use of Blockchain Technology in the Energy Industry to
Education Center
Pros and Cons of AI in Sentiment Trading: Revolutionizing
Education Center
Finalto Launches Gold Yen Thought Leadership

regulations

Search for a tag
Institutional FX

CFTC Warns Derivatives Clearinghouses against Expansion into Crypto

  • The derivatives watchdog raised concerns about crypto cyber security risks.
  • The CFTC tasked clearinghouses with identifying 'new, evolving or unique risks'.
by Jared Kirui
Regulation

IOSCO’s Crypto Policy Aims at Market Manipulation, Conflict of Interest

  • The global body hopes to finalize the policy by Q4.
  • IOSC will stop accepting public feedback on the recommendations by July 31.
by Pedro Ferreira
Retail FX

ESMA Eyes Copy Trading, Stronger Investor Protection

  • Copy and social trading services became popular more than 15 years ago.
  • They are now offered by one in three FX/CFD brokers.
by Damian Chmiel
CryptoCurrency

Huobi to Launch Huobi Hong Kong Crypto Exchange amid Regulatory Update

  • Huobi wants to acquire a Hong Kong crypto trading license before 1 June 2023.
  • It launches a separate platform to comply with the local regulatory requirements fully.
by Damian Chmiel
FinTech

UK FCA Extends 10% Depreciation Notifications Rule Pending Alternative

  • The regulator initially planned to stop enforcing the policy by December 31, 2022.
  • The FCA started adapting the temporary measure in March 2020.
by Solomon Oladipupo
Op-ed
Op-ed
Retail FX
Op-ed
Op-ed

2022, a Year of Tightening Marketing Regulations for Retail Brokers

  • The COVID-19 pandemic saw a significant rise in online investments and digital crimes
  • Several countries have tightened their financial advertising regulations to protect the public
by Jonathan Elkin
Institutional FX

16 Wall Street Firms to Pay $1.1B for 'Off-Channel Communications'

  • The firms include Barclay Capital, BofA, Citigroup and Goldman Sachs, among others.
  • The violation happened between January 2018 and September 2021.
by Solomon Oladipupo
Executive Moves

Single Rulebook Selects Chris Dingley as CEO

  • He previously served as the company’s Head of Sales.
  • Dingley has more than 10 years of corporate experience.
by Bilal Jafar
Brokers

FXBFI Broker Pays €150K to CySEC to Settle Possible Violations

  • The decision was reached by CySEC's Board on March 4, 2022.
  • CySEC announced three license withdrawals in late July.
by Solomon Oladipupo
CryptoCurrency

The FCA Is Introducing New Guidelines on Promoting High-Risk Investments

  • Refer-a-friend will be banned from marketing promotions.
  • A 24-hour period is required for a client to be able to place funds for the investment.
by Matti Williamson
Institutional FX

US Regulator Awards Another Whistleblower over $17 Million

  • Earlier, the SEC awarded over $6 million to two whistleblowers.
  • The regulator has awarded approximately $1.3 billion since 2012.
by Solomon Oladipupo
FinTech

AFS License of Global Funding Partners Has Been Cancelled by ASIC

  • ASIC warned companies about taking adequate cyber security measures.
  • Earlier this month ASIC temporarily suspended the license of ISG.
by Matti Williamson
Analysis
Analysis
FinTech
Analysis
Analysis

Will Regulation End or Expand BPNL in the UK?

  • The laws will mandate lenders to carry out affordability checks.
  • The draft law will be published towards the end of 2021.
by Arnab Shome
Executives

UK Regulator FCA Appoints Six Directors to Bolster Three-Year Plan

  • The directors are to help the FCA deliver on its three-year plan.
  • The plan seeks to prevent harm, set higher standards and promote competition.
by Solomon Oladipupo
Retail FX

Forex TB Pays €270k to CySEC to Settle Possible Violations

  • The broker possibly violated sections of the Investment Services Law of 2017.
  • CySEC previously settled other firm's possible violations for €150k and €100k.
by Solomon Oladipupo
Institutional FX

CySEC Warns Investors against Four Unregistered Forex Websites

  • The websites have not been registered under Cyprus' markets law.
  • The warning follows an earlier alarm on fraudsters impersonating CySEC's officers.
by Solomon Oladipupo
Retail FX

UK’s FCA Raises Alarm on US Crypto Trading Firm

  • The FCA says Crypto Vault Traders is operating in the UK without a permit.
  • It urged traders to check its register to verify firms before entering deals.
by Solomon Oladipupo
Brokers

Financial Commission Expels EGMarkets from Membership

  • The decision is effective from 13 April 2022.
  • According to Financial Commission, EGMarkets breached contractual obligations.
by Bilal Jafar
News

Janet Yellen Highlights Benefits of ‘Responsible’ Crypto Innovation

  • According to her, crypto regulation should be based on risks.
  • She also outlined the need for collaborative efforts to increase the adoption of innovative technologies.
by Bilal Jafar
CryptoCurrency

The FCA Announced a New Three-Year Strategy, Digital Assets Are Included

  • Major upgrades will be made to the FCA market surveillance system over the next 2 years.
  • The FCA's proposed Consumer Duty is discussed.
by Matti Williamson
Institutional FX

AMF Warns French Retail Investors against Fraudulent Share Offers

  • Victims of fake investment proposals report an average loss of €55,000.
  • AMF reiterates caution against offers to buy FDJ shares.
by Solomon Oladipupo
Brokers

FINRA Imposes $75,000 Penalty on Crown Capital

  • The authority fined Crown Capital in violation of FINRA rules 2040 and 2010.
  • Crown Capital has been a member of FINRA since 1972.
by Bilal Jafar
CryptoCurrency

SFOX Is the First Crypto Company to Be Approved as a Wyoming Trust

  • SFOX affirmed its application for a trust charter has been approved.
  • SFOX is holding discussions with large banks as well as market markers.
by Matti Williamson
Retail FX

Banxso Affirms the Launch in South Africa, Fully Regulated by FSCA

  • Banxso plans to operate in 4 countries by the end of 2022.
  • Banxso to offer trading in forex, stocks, CFDs and cryptocurrencies.
by Matti Williamson
Retail FX

Consob Adds 5 New Websites 'That Abusively Offer Financial Services' to Its Blacklist

  • For technical reasons the it may take several days for the websites to be blacked-out.
  • A total of 628 websites are currently blacklisted by Consob.
by Matti Williamson
See more
Next
!"#$%&'()*+,-./0123456789:;<=>?@ABCDEFGHIJKLMNOPQRSTUVWXYZ[\]^_`abcdefghijklmnopqrstuvwxyz{|} !"#$%&'()*+,-./0123456789:;<=>?@ABCDEFGHIJKLMNOPQRSTUVWXYZ[\]^_`abcdefghijklmnopqrstuvwxyz{|}