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Institutional FX

CFTC Imposes Fine on StoneX for Alleged Disclosure Breach

  • The fine involves alleged failure to disclose Pre-Trade Mid-Market Marks (PTMMMs) in swap transactions.
  • StoneX has admitted to the alleged violations, according to the regulator.
Wednesday, 20/09/2023 | 19:54 GMT by Jared Kirui
Regulation

What Does the CFTC Mean When it Says it Wants to Modernize Investor Protection?

  • A look into the latest CFTC proposal.
Friday, 15/09/2023 | 13:25 GMT by Pedro Ferreira
FinTech

U.S. Regulator's Bold Move: Creating a Federal Registry to Fight Financial Fraud

  • A centralized registry is critical in the crypto space.
  • Christy Goldsmith Romero has been persistent in pursuing a registry.
Thursday, 14/09/2023 | 07:41 GMT by Tareq Sikder
CryptoCurrency

Layoffs Continue at Binance.US: CEO Departs

  • Norman Reed assumes the interim CEO role at Binance.US.
  • The market share of the company shrinks amid regulatory challenges.
Wednesday, 13/09/2023 | 13:10 GMT by Tareq Sikder
CryptoCurrency

Could CFTC’s Legal Actions Make DeFi Illegal in the US?

  • A look into the wild west of finance.
Tuesday, 12/09/2023 | 11:22 GMT by Pedro Ferreira
CryptoCurrency

CFTC Moves against 3 DeFi Platforms, Slaps Heavy Penalties

  • All three platforms offered trading services without holding a license.
  • The action indicates the regulator’s preparedness against DeFi protocols.
Friday, 08/09/2023 | 05:13 GMT by Arnab Shome
Binary Options

SignalPush, a Binary Options Signal Provider, Fined $100,000

  • The platform solicited customers to sign up for its services.
  • Its name first emerged in another enforcement action against binary options fraud.
Wednesday, 30/08/2023 | 05:14 GMT by Arnab Shome
Retail FX

Wedbush's Recordkeeping Blunders Lead to Multi-Million Dollar Fines by US Watchdogs

  • Wedbush Securities was fined $6 million for breaching recordkeeping and supervision CFTC rules.
  • A separate penalty of $10 million was imposed by the SEC.
Wednesday, 09/08/2023 | 06:31 GMT by Damian Chmiel
Institutional FX

SEC Fines 11 Wall Street Firms for Alleged Recordkeeping Violations

  • The companies were fined a combined penalty of USD $289 million.
  • Separately, similar charges have been raised by the CFTC.
Tuesday, 08/08/2023 | 19:43 GMT by Jared Kirui
CryptoCurrency

Binance Takes On CFTC with Plans to Seek Dismissal of Lawsuit

  • The regulator sued the exchange and its CEO for allegedly violating the Commodity Exchange Act.
  • Binance is expected to respond to the complaint on July 27.
Tuesday, 25/07/2023 | 08:00 GMT by Jared Kirui
CryptoCurrency

Celsius Hit with Multiple Lawsuits as Founder Alex Mashinksy Is Arrested

  • DOJ, SEC, CFTC and FTC filed complaints against Mashinkshy and the Celsius Network.
  • Celsius filed for bankruptcy in July 2022, citing market volatility.
Thursday, 13/07/2023 | 17:30 GMT by Solomon Oladipupo
Retail FX

US Court Orders Pool Operator to Pay over $24M for FX Fraud

  • Kay Yang along with her companies illegally solicited at least $15.7M from investors.
  • CFTC continues to crackdown on fraudulent FX schemes.
Thursday, 15/06/2023 | 21:05 GMT by Solomon Oladipupo
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'.
Tuesday, 30/05/2023 | 22:31 GMT by Jared Kirui
Retail FX

California Resident to Pay $4.7 Million for Options Fraud

  • She defrauded at least 29 individuals or entities of more than $2 million.
  • She already pled guilty to criminal charges.
Friday, 26/05/2023 | 09:45 GMT by Arnab Shome
Institutional FX

CFTC Slaps HSBC with $45M Fine for ‘Manipulative and Deceptive Trading’

  • The alleged violation occurred between March 2012 and 2015.
  • CFTC fights use of personal messaging channels for business deals.
Friday, 12/05/2023 | 20:38 GMT by Solomon Oladipupo
Binary Options

US Operator of Binary Option Brands Fined $516K for $10M Scam

  • In January, Jared Davis and his firm were fined $6.4M in various penalties.
  • The binary options operator was charged by the CFTC in September 2019.
Friday, 28/04/2023 | 21:09 GMT by Solomon Oladipupo
Retail FX

South African CEO to Pay $3.4 Billion for Forex Fraud

  • The CEO defrauded investors worldwide of 30K BTC between 2018 and 2021.
  • US derivatives watchdog charged Cornelius Steynberg in July last year.
Thursday, 27/04/2023 | 21:59 GMT by Solomon Oladipupo
Retail FX

News Nuggets | 26 April: FMA Flags Fraud Broker; New FX Pairs on Admirals

  • Also, a new CEO at OneID; and Marex Solutions' partnership.
  • Read today's FX/CFDs, crypto and fintech sectors' dynamic news.
Wednesday, 26/04/2023 | 10:23 GMT by Finance Magnates Staff
Retail FX

CFTC Sues 14 Retail FX Dealers for False Registration Claims

  • The platforms claim to be based in the US, UK and Sweden, the CFTC said.
  • Some of the dealers include Cross Trade FX, Volfxtrade, TFX Trading and Bit Trading.
Friday, 21/04/2023 | 20:50 GMT by Solomon Oladipupo
CryptoCurrency

Former New York Banker Faces Criminal Charges for Crypto Scam

  • He was arrested on Monday and arraigned on Tuesday afternoon.
  • The CFTC also filed a civil lawsuit against him.
Wednesday, 12/04/2023 | 06:49 GMT by Arnab Shome
Institutional FX

Goldman Sachs Fined $15M for Swap Disclosure Lapses

  • The violations happened between 2015 and 2016.
  • Goleman Sachs agreed to the charges as a part of the settlement.
Tuesday, 11/04/2023 | 06:05 GMT by Arnab Shome
Op-ed
Op-ed
CryptoCurrency
Op-ed
Op-ed

Binance Allegations Veer into the Darkly Absurd

  • CFTC allegations against Binance include a trove of details taken from internal chats.
  • Claims that crypto is under attack ignore alleged wrongdoing at crypto companies.
Tuesday, 28/03/2023 | 10:56 GMT by Sam White
CryptoCurrency

Binance CEO Calls CFTC Lawsuit “An Incomplete Recitation of Facts”

  • The CFTC brings a massive lawsuit against Binance and its CEO.
  • The exchange faces allegations of insider trading and market manipulation, among others.
Tuesday, 28/03/2023 | 08:02 GMT by Arnab Shome
CryptoCurrency

CFTC Sues Binance, CEO for Illegal Derivatives Exchange: “Numerous Violations”

  • The derivatives regulator described Binance's compliance process as a "sham."
  • CFTC also charged Binance's ex-CCO, Samuel Lim
Monday, 27/03/2023 | 17:17 GMT by Solomon Oladipupo
Op-ed
Op-ed
Retail FX
Op-ed
Op-ed

Data Volumes Are Growing Rapidly, and so is the Need to Archive Them

  • Record-Keeping Requirements Continue to Intensify.
  • 4 digital archiving trends that will shape the remainder of 2023.
Thursday, 23/03/2023 | 20:05 GMT by Harriet Christie
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