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Regulator
Europe's Economic Crossroads: Recession Fears and S&P Global's
Education Center
Will Blockchain Technology Mark a Turning Point in Fraud
Education Center
7 Things We Wish Someone Had Told Us Before We Started Trading
Education Center
Nexo Enhances Data Security Credentials With SOC 3 Assessment
Thought Leadership
Europe's Economic Crossroads: Recession Fears and S&P Global's
Education Center
Will Blockchain Technology Mark a Turning Point in Fraud
Education Center
7 Things We Wish Someone Had Told Us Before We Started Trading
Education Center
Nexo Enhances Data Security Credentials With SOC 3 Assessment
Thought Leadership
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Payments
Tackling APP Scams: The UK's Bold Steps to Protect Consumers from Fraud
2024-07-10T17:00:00.000+02:00
The PSR tackles APP scams with new reimbursement rules and enhanced fraud prevention.
APP scam victims to receive timely reimbursements under new regulations.
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Pedro Ferreira
Retail FX
CySEC Launches Thematic Review on CIFs Handling of Uninvested Funds
2024-07-09T11:24:15.353+02:00
The review will assess how CIFs handle funds, including methods, disclosures, and compliance.
The regulator will send CIFs a detailed questionnaire, requiring timely responses and documentation.
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Tareq Sikder
Retail FX
SEC Nigeria Sounds the Alarm on Fraudsters Posing as Director General
2024-07-05T15:40:40.071+02:00
Scammers posing as the DG are tricking people into sharing personal info and making payments.
CySEC and FSMA faced impersonation scams where fraudsters exploited their names and logos.
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Tareq Sikder
Retail FX
The Menace of Clones: Malta’s Regulator Warns against Fake "Documents and Emails"
2024-05-01T10:51:48.437+02:00
Scammers are circulating documents and emails claiming to originate from the MFSA.
Earlier, the regulator in Cyprus issued multiple warnings against impersonators.
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Arnab Shome
Executive Moves
After 12 Years at Bank of New Zealand, Financial Expert Joins FMA
2024-04-18T09:01:52.740+02:00
The regulator has appointed financial services law expert Louise Unger as Executive Director.
She will focus on the Response and Enforcement division in her new role.
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Damian Chmiel
Retail FX
FSMA Warns Public against Dubious Practices of Prop Trading Firms
2024-03-07T13:42:42.514+02:00
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.
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Tareq Sikder
Institutional FX
FINRA Levies $1.6 Million in Fine on Morgan Stanley for Supervisory Failures
2024-02-15T19:59:16.987+02:00
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.
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Tareq Sikder
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CryptoCurrency
SEC Charges Binance, CEO over Illegal Exchanges, Commingling of Client Fund
2023-06-05T19:29:36.265+02:00
The US securities watchdog accused Binance of the unregistered sale of BNB and BUSD.
The derivatives regulator, CFTC made similar allegations in March.
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Solomon Oladipupo
Retail FX
CySEC Warns against Impersonators of Officials, Representatives
2023-05-19T08:55:43.859+02:00
It was the third warning from CySEC against impersonators.
These scammers contact clients of regulated entities and sanctioned firms.
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Arnab Shome
CryptoCurrency
EU Launches Blockchain Regulatory Sandbox for DLT Development
2023-02-15T15:05:47.037+02:00
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.
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Damian Chmiel
Retail FX
UK FCA Warns against Clone of FX Broker Axi
2023-02-02T17:11:31.314+02:00
AxiCorp owns both Axi and One Financial Markets.
The FCA clamped down on a number of clone companies in 2022.
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Solomon Oladipupo
Retail FX
ESMA Eyes Marketing of Financial Products in EU, Focuses on Risky Instruments
2023-01-16T12:02:35.969+02:00
NCAs will check the quality of promotional campaigns within the financial industry.
Emphasis may be on CFDs and cryptocurrencies.
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Damian Chmiel
Retail FX
FMA Warns against Fraudster Impersonating the Regulator
2022-10-25T10:58:19.578+02:00
Scammer tries tricking consumers and investors into pretending to be a regulatory clerk.
The FMA warned of impostors four times in October 2022.
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Damian Chmiel
Institutional FX
Hong Kong’s SFC Fines China Everbright Securities HK$3.8 Million
2022-06-16T18:41:00.000+02:00
The company failed to comply with AML and CFT regulatory requirements.
The regulator also imposed a reprimand.
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Felipe Erazo
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Institutional FX
FCA Asks UK Firms to Disclose Diversity Records in Annual Reports
2022-04-20T17:46:53.188+02:00
Rule to apply to accounting periods starting April 1, 2022.
FCA to review its new rules in three years’ time.
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FinTech
SEC Approves BSTX to Operate as Blockchain-Based Securities Exchange
2022-01-30T12:13:01.817+02:00
The US SEC has approved BSTX’s exchange proposal.
BSTX will create a national securities exchange using blockchain.
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Nicholas Otieno
News
UK Gambling Commission Flags NFT Fantasy Football Platform Sorare
2021-10-12T08:04:16.000+02:00
The regulatory organisation is now scrutinizing the platform.
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Arnab Shome
News
FCA to Establish ‘Regulatory Nursery’ for Newly-Licensed Firms
2021-04-20T16:55:58.000+02:00
The agency wants to closely observe these regulated companies.
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Regulation
FCA Imposes £8.96 Million Fine on Charles Schwab UK
2020-12-21T13:54:15.000+02:00
The regulator fined the broker for failing to protect the assets of retail customers.
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Bilal Jafar
FinTech
oneZero Allows Clients to Select Multiple Regulatory Reporting Vendors
2020-11-10T11:43:23.000+02:00
The vendors will access client data from oneZero’s Data Source.
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Arnab Shome
Regulation
MAP Fintech Taps UnaVista for EMIR Reporting
2020-10-05T14:47:22.000+02:00
This came as a replacement for the services of CME and Abide.
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Arnab Shome
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Regulation
UAE Securities and Commodities Authority Restructures Licences
2020-07-09T12:39:01.000+02:00
The move is aimed at implementing the integrated financial brokerage institution model, which includes FX brokers.
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News
Croatian Regulator Approves Griffon’s Bitcoin Investment Fund
2020-05-11T10:00:07.000+02:00
There will be a management fee of 2.5 percent with no performance fees.
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Arnab Shome
Regulation
SC to Allow Capital Market Product Distribution via e-Service Platforms
2020-05-05T15:03:52.000+02:00
Operators of e-wallet or e-payment applications can now partner with Capital Markets Services Licence holders - SC Malaysia
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Brokers
ISA to Adopt ESMA-Like Restrictions on FX Trading
2019-11-03T13:13:22.000+02:00
The Israeli watchdog wants to lower leverage on trading and mandate publishing loss statistics
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See more
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