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Regulation
CFTC Loses Chief of Enforcement Responsible For Bringing Hundreds of Cases in Recent Years
2013-10-01T11:29:38.000+02:00
The CFTC says goodbye to Chief of Enforcement David Meister, who during his three year tenure was responsible for a plethora of enforcement actions. Ms. Gretchen L. Lowe is to succeed his position.
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Regulation
CFTC Issues FXDD With $275,000 Penalty For Violating Capital Adequacy Rules
2013-09-30T22:20:20.000+02:00
Regulatory authorities in the United States are becoming notorious for insistance that FX firms maintain sufficient net capital. Today, the CFTC issued FXDD a $275,000 penalty for contravening such rules.
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Brokers
Exclusive: ILQ Acquires Velocity Futures
2013-09-28T22:30:23.000+02:00
ILQ, a leading institutional FX provider has acquired Velocity Futures, LLC a US based Futures Commission Merchant. Velocity Futures made the announcement in an email to its clients.
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Brokers
Exclusive: Alpari to Exit US Market
2013-09-20T16:51:37.000+02:00
Forex Magnates has learned that Alpari is exiting the US market and will be withdrawing its FCM registration with the NFA. According to sources, US accounts will be transferred to FXCM.
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Regulation
Pay Up, Says Uncle Sam! FXDD Ordered To Pay Penalties As Case Draws To A Close
2013-09-18T22:14:54.000+02:00
After over a year's worth of legal pursuit by the US authorities, the NFA and CFTC's cases against FXDD have today drawn to a close with FXDD liable for substantial fines and $1.8 million in restitution.
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Regulation
Tardiness Will Not Be Tolerated – NFA Proposes Significant Increase In Late Report Fees
2013-08-28T11:57:50.000+02:00
The National Futures Association yesterday released full details of its proposed increase in fees for filing late FDM and financial reports from $200 to $1000 per business day, representing a significant increase.
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Regulation
Case Closed: NFA and IKON Global Markets Settle
2013-08-08T13:46:37.000+02:00
The US National Futures Association has entered into a settlement with IKON Global Markets and a senior director of the firm, following a complaint filed in April for non-cooperation. Permanent ban administered.
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Technology
July Forex Industry Review: Summer Doldrums Hitting the Market?
2013-08-01T16:26:44.000+02:00
We’ve reached August, and the summer is in full blast in major market centers. But that didn't stop July from being an active month of activity and announcements in the forex industry across the globe.
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Brokers
Appeal Denied – One World Capital Fraudsters Receive Full Sentencing
2013-07-31T12:23:32.000+02:00
Ponzi scheme fraudsters, John Walsh and Charles Martin, operators of defunct One World Capital saw their appeals rejected. As a result, the two continue to face long jail sentences and restitution charges in the millions.
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Regulation
FXDD Compliance Officer Fined $75,000 By NFA For Irregularities In AML Procedure
2013-07-28T08:35:35.000+02:00
Further demonstrating the regulatory effort directed at ensuring that funds received by FX firms are legitimate, the NFA has fined FXDD Chief Compliance Officer James E. Green $75,000 for irregularities brought to light by complaints.
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Brokers
As New Rules Go Into Effect, Advanced Markets Swaps NFA For ASIC Regulation
2013-07-11T11:16:36.000+02:00
Deciding it’s not worth the $20,000,000 minimums; Advanced Markets has also officially withdrawn all of its licenses with the NFA. As of June 28th, the broker withdrew both its FCM license and NFA membership.
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Regulation
NFA Responds To Two Complaints And Hits Interactive Brokers With $300,000 Penalty
2013-07-09T08:52:50.000+02:00
Following two complaints that Interactive Brokers was allegedly not exercising correct procedures relating to client funds, and using unregistered introducing brokers, the NFA yesterday issued the firm with a $300,000 fine.
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Brokers
NFA Files Another Complaint Against Alpari – US Business May No Longer Make Economic Sense
2013-07-02T13:32:15.000+02:00
Alpari US has once again found itself the target of the regulators due to compliance violations as it has received a complaint from the NFA. In its complaint, the NFA is charging that Alpari violated existing NFA rules.
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Regulation
Looking for a Job? The NFA is Hiring
2013-06-06T22:16:27.000+02:00
The NFA has announced that they approved their Fiscal Year 2014 budget. The budget, for the fiscal year which starts on July, 1 2013 is for $74 million, an 18% increase above last year, with the majority going towards new hiring
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Brokers
NFA Files Complaint Against IKON Global Markets
2013-04-21T11:48:06.000+02:00
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Brokers
CFTC Posts February FCM Financials - Easy Forex Exits the US
2013-04-12T09:06:07.000+02:00
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Regulation
NFA Announces June 30 Date for New Capital Requirements of FCMs Acting as a Counterparty to Forex Transactions
2013-04-11T11:09:49.000+02:00
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Brokers
GAIN Capital & FXCM – New Swap Dealers in Town
2013-03-19T16:18:25.000+02:00
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Brokers
Official Gain Capital Announcement Regarding FX Solutions
2013-02-22T15:38:13.000+02:00
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Brokers
FX Solutions Finally Exiting the US Market, Client Base Goes to GAIN Capital
2013-02-21T19:36:54.000+02:00
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Regulation
Dodd Frank Act Senate Meeting - US Regulators Report Significant Progress
2013-02-15T09:54:45.000+02:00
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Regulation
US Financial Regulators To Convene This Week – Investor Protection High on the Agenda
2013-02-11T18:00:32.000+02:00
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Analysis
LNAM Managed Forex Strategy Launched – Captures Short and Long Term Price Trends
2013-02-07T10:44:56.000+02:00
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Regulation
NFA Responds to Forex Magnates About BRG Report
2013-02-04T09:27:38.000+02:00
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Regulation
NFA Ignores Independent Audit Criticism and Pats Themselves On The Back During Board Meeting
2013-02-01T11:58:46.000+02:00
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See more
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