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Regulation

Regtech Innovations: Transforming Compliance in the Digital Age

  • The pros and cons of Regtech
Wednesday, 28/06/2023 | 14:12 GMT by FM Contributors
Regulation

Exploring the Impact of Regulatory Changes on Forex B2B Relationships

  • As frameworks change, knowing how to adapt is key
Monday, 12/06/2023 | 11:46 GMT by FM Contributors
Institutional FX

Foreign Traders Gain Easier Access to South Korea after 30 Years, CFDs Not Included

  • South Korean government is changing unfavorable laws after 30 years.
  • Unfortunately, the changes will only refer to the stock and bond market, not CFDs or cryptos.
Monday, 05/06/2023 | 11:50 GMT by Damian Chmiel
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
Regulation

IOSCO’s Crypto Policy Aims at Market Manipulation, Conflict of Interest

  • The global body hopes to finalize the policy by Q4.
  • IOSC will stop accepting public feedback on the recommendations by July 31.
Tuesday, 23/05/2023 | 19:29 GMT by Solomon Oladipupo
Retail FX

ESMA Eyes Copy Trading, Stronger Investor Protection

  • Copy and social trading services became popular more than 15 years ago.
  • They are now offered by one in three FX/CFD brokers.
Thursday, 30/03/2023 | 10:55 GMT by Damian Chmiel
CryptoCurrency

Huobi to Launch Huobi Hong Kong Crypto Exchange amid Regulatory Update

  • Huobi wants to acquire a Hong Kong crypto trading license before 1 June 2023.
  • It launches a separate platform to comply with the local regulatory requirements fully.
Tuesday, 21/02/2023 | 09:09 GMT by Damian Chmiel
FinTech

UK FCA Extends 10% Depreciation Notifications Rule Pending Alternative

  • The regulator initially planned to stop enforcing the policy by December 31, 2022.
  • The FCA started adapting the temporary measure in March 2020.
Thursday, 22/12/2022 | 16:42 GMT by Solomon Oladipupo
Op-ed
Op-ed
Retail FX
Op-ed
Op-ed

2022, a Year of Tightening Marketing Regulations for Retail Brokers

  • The COVID-19 pandemic saw a significant rise in online investments and digital crimes
  • Several countries have tightened their financial advertising regulations to protect the public
Wednesday, 16/11/2022 | 09:43 GMT by Jonathan Elkin
Institutional FX

16 Wall Street Firms to Pay $1.1B for 'Off-Channel Communications'

  • The firms include Barclay Capital, BofA, Citigroup and Goldman Sachs, among others.
  • The violation happened between January 2018 and September 2021.
Wednesday, 28/09/2022 | 00:00 GMT by Solomon Oladipupo
Executive Moves

Single Rulebook Selects Chris Dingley as CEO

  • He previously served as the company’s Head of Sales.
  • Dingley has more than 10 years of corporate experience.
Tuesday, 13/09/2022 | 07:19 GMT by Bilal Jafar
Brokers

FXBFI Broker Pays €150K to CySEC to Settle Possible Violations

  • The decision was reached by CySEC's Board on March 4, 2022.
  • CySEC announced three license withdrawals in late July.
Tuesday, 09/08/2022 | 20:06 GMT by Solomon Oladipupo
CryptoCurrency

The FCA Is Introducing New Guidelines on Promoting High-Risk Investments

  • Refer-a-friend will be banned from marketing promotions.
  • A 24-hour period is required for a client to be able to place funds for the investment.
Tuesday, 02/08/2022 | 06:47 GMT by Matti Williamson
Institutional FX

US Regulator Awards Another Whistleblower over $17 Million

  • Earlier, the SEC awarded over $6 million to two whistleblowers.
  • The regulator has awarded approximately $1.3 billion since 2012.
Tuesday, 19/07/2022 | 17:41 GMT by Solomon Oladipupo
FinTech

AFS License of Global Funding Partners Has Been Cancelled by ASIC

  • ASIC warned companies about taking adequate cyber security measures.
  • Earlier this month ASIC temporarily suspended the license of ISG.
Tuesday, 19/07/2022 | 09:09 GMT by Matti Williamson
Analysis
Analysis
FinTech
Analysis
Analysis

Will Regulation End or Expand BPNL in the UK?

  • The laws will mandate lenders to carry out affordability checks.
  • The draft law will be published towards the end of 2021.
Friday, 08/07/2022 | 07:56 GMT by Arnab Shome
Executives

UK Regulator FCA Appoints Six Directors to Bolster Three-Year Plan

  • The directors are to help the FCA deliver on its three-year plan.
  • The plan seeks to prevent harm, set higher standards and promote competition.
Tuesday, 05/07/2022 | 17:31 GMT by Solomon Oladipupo
Retail FX

Forex TB Pays €270k to CySEC to Settle Possible Violations

  • The broker possibly violated sections of the Investment Services Law of 2017.
  • CySEC previously settled other firm's possible violations for €150k and €100k.
Thursday, 30/06/2022 | 21:27 GMT by Solomon Oladipupo
Institutional FX

CySEC Warns Investors against Four Unregistered Forex Websites

  • The websites have not been registered under Cyprus' markets law.
  • The warning follows an earlier alarm on fraudsters impersonating CySEC's officers.
Wednesday, 27/04/2022 | 14:37 GMT by Solomon Oladipupo
Retail FX

UK’s FCA Raises Alarm on US Crypto Trading Firm

  • The FCA says Crypto Vault Traders is operating in the UK without a permit.
  • It urged traders to check its register to verify firms before entering deals.
Friday, 22/04/2022 | 23:13 GMT by Solomon Oladipupo
Brokers

Financial Commission Expels EGMarkets from Membership

  • The decision is effective from 13 April 2022.
  • According to Financial Commission, EGMarkets breached contractual obligations.
Friday, 15/04/2022 | 13:10 GMT by Bilal Jafar
News

Janet Yellen Highlights Benefits of ‘Responsible’ Crypto Innovation

  • According to her, crypto regulation should be based on risks.
  • She also outlined the need for collaborative efforts to increase the adoption of innovative technologies.
Friday, 08/04/2022 | 06:06 GMT by Bilal Jafar
CryptoCurrency

The FCA Announced a New Three-Year Strategy, Digital Assets Are Included

  • Major upgrades will be made to the FCA market surveillance system over the next 2 years.
  • The FCA's proposed Consumer Duty is discussed.
Thursday, 07/04/2022 | 13:40 GMT by Matti Williamson
Institutional FX

AMF Warns French Retail Investors against Fraudulent Share Offers

  • Victims of fake investment proposals report an average loss of €55,000.
  • AMF reiterates caution against offers to buy FDJ shares.
Tuesday, 29/03/2022 | 07:40 GMT by Solomon Oladipupo
Brokers

FINRA Imposes $75,000 Penalty on Crown Capital

  • The authority fined Crown Capital in violation of FINRA rules 2040 and 2010.
  • Crown Capital has been a member of FINRA since 1972.
Monday, 14/03/2022 | 12:16 GMT by Bilal Jafar
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