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Institutional FX

What Gets a Banker's Email Flagged at Goldman Sachs: CNBC

  • CNBC has obtained a document detailing more than 180 phrases flagged by Goldman Sachs for scrutiny.
Friday, 17/06/2016 | 11:19 GMT by Finance Magnates Staff
Regulation

SEC Charges Hedge Fund Managers in $32m Insider Trading Scheme

  • Sanjay Valvani reaped unlawful profits by insider trading on tips he received from a former government official.
Wednesday, 15/06/2016 | 16:48 GMT by Finance Magnates Staff
Crowd Funding

OTC Markets Petitions SEC to Expand Online Capital Raising to Reporting Firms

  • OTC Markets files petition to expand regulation A+ to SEC-reporting firms.
Friday, 10/06/2016 | 20:25 GMT by Steven Hatzakis
Regulation

SEC’s Leans on Whistleblower in Deutsche Bank Securities Probe

  • The SEC is being aided by a whistleblower who helped bring to light allegations of Deutsche Bank's mortgage bond endeavors.
Friday, 10/06/2016 | 09:01 GMT by Jeff Patterson
Regulation

SEC Offers $17m Whistleblower Reward in Bid to Curb Illicit Activity

  • The SEC has offered a $17m reward for any individual helping provide tangible assistance or tips to an investigation.
Thursday, 09/06/2016 | 18:03 GMT by Jeff Patterson
Regulation

SEC Charges Trader For Defrauding Investors and Hiding $16 Million Losses

  • The SEC is seeking a permanent injunction and the return of alleged ill-gotten gains for Park’s fraudulent trading activities.
Friday, 03/06/2016 | 08:00 GMT by Finance Magnates Staff
Regulation

Wall Street Broker AF&Co Settles for $300,000 with SEC over SAR filings

  • SEC hits Wall Street Firm AF&Co regarding failure to file Suspicious Activity Reports.
Thursday, 02/06/2016 | 05:55 GMT by Steven Hatzakis
Regulation

SEC Charges Ponzi Scheme Operators for Luring Middle Class Investors

  • The Ponzi scheme operators promised access to highly coveted investment opportunities typically reserved for the rich.
Wednesday, 01/06/2016 | 07:20 GMT by Finance Magnates Staff
Regulation

SEC Alleges Investment Adviser Delayed Losses to Earn Incentive Fees

  • SEC charges Hope Advisers Inc. over timing trades to erroneously earn fees.
Wednesday, 01/06/2016 | 06:28 GMT by Steven Hatzakis
Regulation

U.S. Brokers Well Prepared for End of SEC Retail Forex Extension Rule

  • The Securities and Exchange Commission has adopted a temporary measure in 2013 as an interim extension till 31st of July 2016.
Wednesday, 25/05/2016 | 13:54 GMT by Victor Golovtchenko
Regulation

SEC: “We allege that Aly tried to fool the markets from a computer in Pakistan”

  • SEC alleges that Nauman A. Aly made false filings that led to his now-blocked profits.
Wednesday, 25/05/2016 | 06:26 GMT by Steven Hatzakis
Regulation

SEC Calls For Reporting Of Treasury Cash Market Transactions

  • The request is aimed at safeguarding the deepest and most liquid securities market in the world.
Tuesday, 17/05/2016 | 19:29 GMT by Finance Magnates Staff
Regulation

Six US Agencies Propose Rule to Curb Excessive Risk for Firms with Over $1b

  • Six agencies in the US invite the public for comment on the proposed rule.
Monday, 16/05/2016 | 20:08 GMT by Steven Hatzakis
Execution

SEC Announces Latest Settlement for $100k in Hacked News Story

  • Latest SEC settlement is with Oleksandr Makarov, bringing total recovered to $52 million.
Wednesday, 11/05/2016 | 08:14 GMT by Steven Hatzakis
Regulation

SEC Might Be Next To Investigate Mossack Fonseca Leak

  • The American watchdog is free to look at the exposed "Panama Papers" for possible cases of corruption.
Sunday, 10/04/2016 | 14:17 GMT by Avi Mizrahi
News

SEC Chair: Blockchain Could Replace Current Trading Clearing and Settlement

  • The SEC is "closely monitoring the proliferation of this technology and already addressing it in certain contexts. "
Monday, 04/04/2016 | 10:41 GMT by Avi Mizrahi
Regulation

FXPA Seeks FX Exemption From SEC Derivatives Rules

  • The FXPA has submitted a letter to SEC on the use of derivatives by registered investment and business development companies.
Wednesday, 30/03/2016 | 13:14 GMT by Finance Magnates Staff
Regulation

Mary Jo White Urges Harmonization of Broker-Dealer Rules in the US

  • Conflict of interest rules are to be devised by a growing number of U.S. regulatory agencies.
Tuesday, 22/03/2016 | 23:42 GMT by Victor Golovtchenko
Brokers

GAIN Capital Delays Annual Report over Tax Accounting Error

  • Misstated amounts for 2013, 2014, and Q1, Q2 and Q3 in 2015 were restated and thus causing the late filing.
Wednesday, 16/03/2016 | 21:25 GMT by Steven Hatzakis
Regulation

Ponzi Scheme Operator Charged For Jamaican Bridge Loans Scheme

  • SEC Charges Operator Of Ponzi Scheme Claiming To Offer “Bridge Loans” To Jamaican Businesses
Tuesday, 15/03/2016 | 21:35 GMT by Finance Magnates Staff
Regulation

SEC Impersonators Sift For Fees in Banc De Binary Settlement

  • The SEC has issued an alert after entities impersonating the regulator requested that clients to pay a fee for settlements.
Wednesday, 09/03/2016 | 19:21 GMT by Jeff Patterson
Regulation

Bats Granted SEC Approval to Combat Manipulative Market Behavior

  • The newly granted SEC ruling allows Bats to explicitly address disruptive quoting and trading practices across its exchanges.
Tuesday, 23/02/2016 | 17:03 GMT by Jeff Patterson
Regulation

US Tech Company Fined $28 Million over Chinese Officials Bribe

  • Chinese corruption binge brought onshore by an SEC investigation.
Tuesday, 16/02/2016 | 19:47 GMT by Steven Hatzakis
Exchanges

Dark Pool Dive: Beyond BarCap and Credit Suisse Fines

  • Neither wrongdoing nor regulation seems to put off the buy side from dark trading. 
Friday, 05/02/2016 | 18:10 GMT by Anna Reitman
Education Center

How We Fared in Our 2015 Crypto Predictions

  • We anticipated the evolution of 'Bitcoin 2.0', but had no idea that 2015 would become the year of the blockchain.
Tuesday, 29/12/2015 | 09:31 GMT by Leon Pick
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