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EU Launches Blockchain Regulatory Sandbox for DLT Development

First applications for the project are being accepted until 14 April.
Sandbox is expected to run for three years and support up to 20 projects yearly.

Wednesday, 15/02/2023 | 13:05 GMT by Damian Chmiel

UK FCA Warns against Clone of FX Broker Axi

AxiCorp owns both Axi and One Financial Markets.
The FCA clamped down on a number of clone companies in 2022.

Thursday, 02/02/2023 | 15:11 GMT by Solomon Oladipupo

ESMA Eyes Marketing of Financial Products in EU, Focuses on Risky Instruments

NCAs will check the quality of promotional campaigns within the financial industry.
Emphasis may be on CFDs and cryptocurrencies.

Monday, 16/01/2023 | 10:02 GMT by Damian Chmiel

FMA Warns against Fraudster Impersonating the Regulator

Scammer tries tricking consumers and investors into pretending to be a regulatory clerk.
The FMA warned of impostors four times in October 2022.

Tuesday, 25/10/2022 | 08:58 GMT by Damian Chmiel

Institutional FX

Hong Kong’s SFC Fines China Everbright Securities HK$3.8 Million

The company failed to comply with AML and CFT regulatory requirements.
The regulator also imposed a reprimand.

Thursday, 16/06/2022 | 16:41 GMT by Felipe Erazo

Institutional FX

FCA Asks UK Firms to Disclose Diversity Records in Annual Reports

Rule to apply to accounting periods starting April 1, 2022.
FCA to review its new rules in three years’ time.

Wednesday, 20/04/2022 | 15:46 GMT by Solomon Oladipupo

SEC Approves BSTX to Operate as Blockchain-Based Securities Exchange

The US SEC has approved BSTX’s exchange proposal.
BSTX will create a national securities exchange using blockchain.

Sunday, 30/01/2022 | 10:13 GMT by Nicholas Otieno

UK Gambling Commission Flags NFT Fantasy Football Platform Sorare

The regulatory organisation is now scrutinizing the platform.

Tuesday, 12/10/2021 | 06:04 GMT by Arnab Shome

FCA to Establish ‘Regulatory Nursery’ for Newly-Licensed Firms

The agency wants to closely observe these regulated companies.

Tuesday, 20/04/2021 | 14:55 GMT by Arnab Shome

FCA Imposes £8.96 Million Fine on Charles Schwab UK

The regulator fined the broker for failing to protect the assets of retail customers.

Monday, 21/12/2020 | 11:54 GMT by Bilal Jafar

oneZero Allows Clients to Select Multiple Regulatory Reporting Vendors

The vendors will access client data from oneZero’s Data Source.

Tuesday, 10/11/2020 | 09:43 GMT by Arnab Shome

MAP Fintech Taps UnaVista for EMIR Reporting

This came as a replacement for the services of CME and Abide.

Monday, 05/10/2020 | 12:47 GMT by Arnab Shome

UAE Securities and Commodities Authority Restructures Licences

The move is aimed at implementing the integrated financial brokerage institution model, which includes FX brokers.

Thursday, 09/07/2020 | 10:39 GMT by Finance Magnates Staff

Croatian Regulator Approves Griffon’s Bitcoin Investment Fund

There will be a management fee of 2.5 percent with no performance fees.

Monday, 11/05/2020 | 08:00 GMT by Arnab Shome

SC to Allow Capital Market Product Distribution via e-Service Platforms

Operators of e-wallet or e-payment applications can now partner with Capital Markets Services Licence holders - SC Malaysia

Tuesday, 05/05/2020 | 13:03 GMT by Finance Magnates Staff

ISA to Adopt ESMA-Like Restrictions on FX Trading

The Israeli watchdog wants to lower leverage on trading and mandate publishing loss statistics

Sunday, 03/11/2019 | 11:13 GMT by Finance Magnates Staff

ASIC Reports "High Incidence" of CFD Broker Misconduct

The Aussie regulator made the comments in its recently published annual report

Thursday, 17/10/2019 | 11:10 GMT by David Kimberley

FCA and Dutch AFM Announce Closer Partnership

The two regulators will be working more closely together in the event of a no-deal Brexit

Wednesday, 05/06/2019 | 09:12 GMT by David Kimberley

FCA: We Want Healthier Culture in Financial Services Industry

In a report outlining its plans for the next year, the British regulator also said it wants improved cybersecurity measures

Wednesday, 17/04/2019 | 08:59 GMT by David Kimberley

Polish Regulator: Retail Traders Lost $151 Million in 2018

The PFOC also noted that just over a fifth of Polish traders were profitable last year

Wednesday, 03/04/2019 | 15:03 GMT by David Kimberley

Exclusive: ASIC Issues First Retail Broker License in Two Years

The Australian regulator has been mute for a while when it comes to new retail brokers

Monday, 18/03/2019 | 13:09 GMT by Victor Golovtchenko

Japan's FSA Announces New Chief Sustainable Finance Officer

Satoshi Ikeda, who has led prior ESG projects for the regulator and the G20, will take up the new role

Friday, 15/03/2019 | 11:50 GMT by David Kimberley

FCA May Impose Exit Fee Ban on Retail Investment Platforms

The British regulator said that it wants to make it easier for investors to move funds between platforms

Thursday, 14/03/2019 | 09:46 GMT by David Kimberley

SFC Suspends License of Ex-China Merchants Securities Banker

The Hong Kong regulator says that Wu Yinong failed to meet compliance standards relating to a 2009 IPO

Wednesday, 27/02/2019 | 14:49 GMT by David Kimberley

ESMA to Focus on TR Data, Cybersecurity and Brexit in 2019

The pan-European regulator has already approved three UK CCPs to work in Europe post-Brexit

Tuesday, 19/02/2019 | 11:06 GMT by David Kimberley

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