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Executive Moves

BNY Mellon Secures Robert Allan as its Head of EMEA Compliance Surveillance

  • Mr. Allan joins BNY Mellon after nearly 18 years at CIBC World Markets.
Thursday, 07/07/2016 | 17:11 GMT by Jeff Patterson
Regulation

Exane BNP Paribas Picks Corvil to Safeguard its Electronic Trading Business

  • Corvil has expanded its European footprint with the announcement of a new partnership.
Thursday, 16/06/2016 | 14:45 GMT by Finance Magnates Staff
Technology

iSignthis and iFOREX Enter into Pilot Agreement to Enhance KYC Solution

  • Aimed to help iFOREX with onboarding and enhance iSignthis's KYC product.
Wednesday, 25/05/2016 | 08:24 GMT by Steven Hatzakis
Regulation

IPC Expands Range Of Compliance Solutions For Financial Firms

  • IPC has boosted its compliance offering to help firms face the challenges of increasingly stringent regulatory requirements.
Tuesday, 24/05/2016 | 11:09 GMT by Finance Magnates Staff
Technology

German Technology Provider GFT Launches New RegTech Solution

  • The new Regulatory Change Management Service from GFT was unveiled today.
Wednesday, 18/05/2016 | 09:07 GMT by Steven Hatzakis
Executive Moves

Capital Index Appoints Peter Wilson as New Head of Compliance

  • The brokerage is aiming to continue with its international expansion at a time when strong growth for the industry persists.
Monday, 09/05/2016 | 16:40 GMT by Victor Golovtchenko
Regulation

FINRA Issues Cross-Market Report Cards To Halt Spoofing and Layering

  • New equities supervision reports help firms identify potential market manipulation.
Thursday, 28/04/2016 | 19:03 GMT by Finance Magnates Staff
Executive Moves

Deutsche Bank Heads into H2 2016 With Revamped Compliance Team

  • Pamela Root and Peter Hazlewood will help steer Deutsche Bank's compliance operations heading into June.
Tuesday, 19/04/2016 | 13:22 GMT by Jeff Patterson
Technology

Corvil Launches MiFID II-Compliant Latency Monitoring Solution

  • Corvil boosts platform functionality to meet the new norm specified in ESMA Regulatory Technical Standards.
Thursday, 14/04/2016 | 21:15 GMT by Finance Magnates Staff
Technology

RegTech Provider Kinetix Enters UK, CEO says "rules keep evolving"

  • Plans revealed during an exclusive call with Kinetix's CEO Amit Karande.
Thursday, 24/03/2016 | 14:29 GMT by Steven Hatzakis
Regulation

ANZ to Pay $4.5 Million in Compensation After Compliance Review

  • The Australian watchdog announces that ANZ Group has agreed to an independent review of its OnePath subsidiaries’ compliance.
Tuesday, 15/03/2016 | 10:05 GMT by Damian Chmiel
Regulation

KYC.com JV Expands Compliance Initiative to Singapore and Hong Kong

  • The compliance sharing joint venture backed by Markit and Greenpact expands to Asia as support arrives in Hong Kong and Singapore.
Thursday, 18/02/2016 | 08:33 GMT by Ron Finberg
Execution

Markit Selected By UBS For Index Management in Bid to Streamline Compliance

  • The new partnership with UBS is important for both parties as it will help facilitate the delivery of the lender’s index offering.
Tuesday, 26/01/2016 | 12:11 GMT by Jeff Patterson
Executive Moves

TransferTo Adds Ex-PayPal Exec, Paul de Ruiter as Chief Compliance Officer

  • Mr. de Ruiter joins TransferTo from PayPal, having served as its Compliance Director for over three years out of Singapore for nearly 8 years.
Thursday, 10/12/2015 | 11:01 GMT by Jeff Patterson
Executive Moves

ADS Securities Onboards Patrick Lindsay as Head of Compliance

  • ADS Securities onboards an industry veteran at a time when global compliance costs for financial institutions are on the rise
Thursday, 08/10/2015 | 11:33 GMT by Victor Golovtchenko
Blogs

To Whom Should Australian OTC Derivative Issuers Report?

  • With the October 12 reporting deadline looming, Patricia Tsang and Sophie Gerber help issuers get a handle on reporting requirements.
Friday, 04/09/2015 | 14:20 GMT by Sophie Gerber
Executive Moves

OANDA Europe Taps Compliance Maven, Siddhartha Valluri, as Its Director

  • In his new role, Mr. Valluri will continue to foster transparency and compliance measures for the broker’s global network of operations.
Thursday, 20/08/2015 | 11:09 GMT by Jeff Patterson
Analysis

Is the End of Self-Deposits the Beginning of Automated Account Onboarding?

  • Automated account verification software streamlines the customer onboarding process. This comes at a good time with KYC rules becoming tougher.
Monday, 27/07/2015 | 08:15 GMT by Ron Finberg
Technology

Interview: Tradair in an Era of Surveillance

  • Tradair's Brian Andreyko discusses technology, trading and regulation in an interview with Finance Magnates.
Monday, 06/07/2015 | 11:53 GMT by Andy Traveller
Regulation

Exclusive: Simon Appleton on Big Fines, New Rules and Being Prepared

  • A discussion about the importance of confidence in the market for the sake of all involved.
Friday, 19/06/2015 | 20:03 GMT by Andy Traveller
News

Ripple Trade to Require ID in Compliance Shift

  • Users of Ripple Trade wallets will be required to supply "identifiable information" later this year, according to an e-mailed notice.
Wednesday, 15/04/2015 | 07:31 GMT by Leon Pick
Products

NFA Charged Introducing Broker FX Evolve for Offering Services to Traders with Criminal Past

  • The NFA says that in connection with all the counts in this case it may impose a number of penalties including suspension from membership and a monetary fine not to exceed $250,000 for each violation.
Wednesday, 31/12/2014 | 10:32 GMT by Avi Mizrahi
Regulation

ASIC Forces Broker to Enhance Supervision in "Forex Crackdown"

  • The Australian watchdog raised concerns over Calibre’s risk frameworks, advice to clients and supervision of representatives, and the company has changed the way it does business adhering to a stricter procedures.
Monday, 08/12/2014 | 07:19 GMT by Avi Mizrahi
Uncategorized

Are Brokers Migrating to Latin America Due to Stringent US Regulation?

  • We certainly see that more and more brokers going to Latin America, however I wouldn't call it migration.
Wednesday, 03/12/2014 | 00:01 GMT by Peter Tatarnikov
Uncategorized

How Has The Financial Commission Fared With Cryptocurrency Providers?

  • The Financial Commission is currently working on creation of a regulatory framework for crypto currency ECNs, that is scheduled to launch
Monday, 17/11/2014 | 00:01 GMT by Peter Tatarnikov
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