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Regulator
Europe's Economic Crossroads: Recession Fears and S&P Global's
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Will Blockchain Technology Mark a Turning Point in Fraud
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7 Things We Wish Someone Had Told Us Before We Started Trading
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Investing in US Securities? Something is Stalking You …
Thought Leadership
Europe's Economic Crossroads: Recession Fears and S&P Global's
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Will Blockchain Technology Mark a Turning Point in Fraud
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7 Things We Wish Someone Had Told Us Before We Started Trading
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Retail FX
FSMA Warns Public against Dubious Practices of Prop Trading Firms
Consumers interested in prop trading undergo costly courses, as outlined by the FSMA.
The regulator has observed a worrying rise in prop trading firms' advertising on social media.
Thursday, 07/03/2024 | 11:42 GMT
by
Tareq Sikder
Institutional FX
FINRA Levies $1.6 Million in Fine on Morgan Stanley for Supervisory Failures
The firm previously sanctioned by FINRA for similar supervisory lapsed in 2015.
The MSRB has been allocated $1.2 million of the $1.6 million fine.
Thursday, 15/02/2024 | 17:59 GMT
by
Tareq Sikder
CryptoCurrency
SEC Charges Binance, CEO over Illegal Exchanges, Commingling of Client Fund
The US securities watchdog accused Binance of the unregistered sale of BNB and BUSD.
The derivatives regulator, CFTC made similar allegations in March.
Monday, 05/06/2023 | 17:29 GMT
by
Solomon Oladipupo
Retail FX
CySEC Warns against Impersonators of Officials, Representatives
It was the third warning from CySEC against impersonators.
These scammers contact clients of regulated entities and sanctioned firms.
Friday, 19/05/2023 | 06:55 GMT
by
Arnab Shome
CryptoCurrency
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
Retail FX
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
Retail FX
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
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Retail FX
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
FinTech
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
News
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
News
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
Regulation
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
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FinTech
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
Regulation
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
Regulation
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
News
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
Regulation
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
Brokers
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
Regulation
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
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Regulation
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
Regulation
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
Regulation
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
Brokers
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
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