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Retail FX

FCA Flags 38 Finfluencers amid Surge in Financial Scams Targeting Youth

  • The regulator is questioning 20 finfluencers over potential illegal financial promotions.
  • Two-thirds of 18- to 29-year-olds follow influencers, and most trust their financial advice.
Monday, 21/10/2024 | 23:01 GMT by Tareq Sikder
Retail FX

MFSA Raises Flag on Impersonation: “Don’t Get Caught in Fake Email Scams”

  • Potential fraud can often be identified by unusual communication and urgent requests for personal information.
  • If unsure, verify the entity’s license and stop communication until confirmed, the regulator suggests.
Friday, 27/09/2024 | 10:09 GMT by Tareq Sikder
Retail FX

CFTC's Pham Hits Again: “Decades-Old Regulations' Interpretations Lack Rational Basis”

  • Over a month after CFTC Commissioner Caroline Pham strongly criticized the regulator for its handling of misconduct allegations in the My Forex Funds case, she has once again attacked its regulatory practices.
  • Pham, appointed by President Biden, criticised the unclear roles and responsibilities of different CFTC divisions.
Tuesday, 20/08/2024 | 13:40 GMT by Arnab Shome
CryptoCurrency

ESMA Warns on Non-EU Crypto Venues: NCAs to Monitor MiCA Compliance

  • The regulator stresses Case-by-Case assessments for firms, highlighting MiCA execution.
  • Non-EU venues could harm protection and create an uneven landscape with EU venues.
Wednesday, 31/07/2024 | 14:42 GMT by Tareq Sikder
Payments

Tackling APP Scams: The UK's Bold Steps to Protect Consumers from Fraud

  • The PSR tackles APP scams with new reimbursement rules and enhanced fraud prevention.
  • APP scam victims to receive timely reimbursements under new regulations.
Wednesday, 10/07/2024 | 15:00 GMT by Pedro Ferreira
Retail FX

CySEC Launches Thematic Review on CIFs Handling of Uninvested Funds

  • The review will assess how CIFs handle funds, including methods, disclosures, and compliance.
  • The regulator will send CIFs a detailed questionnaire, requiring timely responses and documentation.
Tuesday, 09/07/2024 | 09:24 GMT by Tareq Sikder
Retail FX

SEC Nigeria Sounds the Alarm on Fraudsters Posing as Director General

  • Scammers posing as the DG are tricking people into sharing personal info and making payments.
  • CySEC and FSMA faced impersonation scams where fraudsters exploited their names and logos.
Friday, 05/07/2024 | 13:40 GMT by Tareq Sikder
Retail FX

The Menace of Clones: Malta’s Regulator Warns against Fake "Documents and Emails"

  • Scammers are circulating documents and emails claiming to originate from the MFSA.
  • Earlier, the regulator in Cyprus issued multiple warnings against impersonators.
Wednesday, 01/05/2024 | 08:51 GMT by Arnab Shome
Executive Moves

After 12 Years at Bank of New Zealand, Financial Expert Joins FMA

  • The regulator has appointed financial services law expert Louise Unger as Executive Director.
  • She will focus on the Response and Enforcement division in her new role.
Thursday, 18/04/2024 | 07:01 GMT by Damian Chmiel
Retail FX

FSMA Warns Public against Dubious Practices of Prop Trading Firms

  • Consumers interested in prop trading undergo costly courses, as outlined by the FSMA.
  • The regulator has observed a worrying rise in prop trading firms' advertising on social media.
Thursday, 07/03/2024 | 11:42 GMT by Tareq Sikder
Institutional FX

FINRA Levies $1.6 Million in Fine on Morgan Stanley for Supervisory Failures

  • The firm previously sanctioned by FINRA for similar supervisory lapsed in 2015.
  • The MSRB has been allocated $1.2 million of the $1.6 million fine.
Thursday, 15/02/2024 | 17:59 GMT by Tareq Sikder
CryptoCurrency

SEC Charges Binance, CEO over Illegal Exchanges, Commingling of Client Fund

  • The US securities watchdog accused Binance of the unregistered sale of BNB and BUSD.
  • The derivatives regulator, CFTC made similar allegations in March.
Monday, 05/06/2023 | 17:29 GMT by Solomon Oladipupo
Retail FX

CySEC Warns against Impersonators of Officials, Representatives

  • It was the third warning from CySEC against impersonators.
  • These scammers contact clients of regulated entities and sanctioned firms.
Friday, 19/05/2023 | 06:55 GMT by Arnab Shome
CryptoCurrency

EU Launches Blockchain Regulatory Sandbox for DLT Development

  • First applications for the project are being accepted until 14 April.
  • Sandbox is expected to run for three years and support up to 20 projects yearly.
Wednesday, 15/02/2023 | 13:05 GMT by Damian Chmiel
Retail FX

UK FCA Warns against Clone of FX Broker Axi

  • AxiCorp owns both Axi and One Financial Markets.
  • The FCA clamped down on a number of clone companies in 2022.
Thursday, 02/02/2023 | 15:11 GMT by Solomon Oladipupo
Retail FX

ESMA Eyes Marketing of Financial Products in EU, Focuses on Risky Instruments

  • NCAs will check the quality of promotional campaigns within the financial industry.
  • Emphasis may be on CFDs and cryptocurrencies.
Monday, 16/01/2023 | 10:02 GMT by Damian Chmiel
Retail FX

FMA Warns against Fraudster Impersonating the Regulator

  • Scammer tries tricking consumers and investors into pretending to be a regulatory clerk.
  • The FMA warned of impostors four times in October 2022.
Tuesday, 25/10/2022 | 08:58 GMT by Damian Chmiel
Institutional FX

Hong Kong’s SFC Fines China Everbright Securities HK$3.8 Million

  • The company failed to comply with AML and CFT regulatory requirements.
  • The regulator also imposed a reprimand.
Thursday, 16/06/2022 | 16:41 GMT by Felipe Erazo
Institutional FX

FCA Asks UK Firms to Disclose Diversity Records in Annual Reports

  • Rule to apply to accounting periods starting April 1, 2022.
  • FCA to review its new rules in three years’ time.
Wednesday, 20/04/2022 | 15:46 GMT by Solomon Oladipupo
FinTech

SEC Approves BSTX to Operate as Blockchain-Based Securities Exchange

  • The US SEC has approved BSTX’s exchange proposal.
  • BSTX will create a national securities exchange using blockchain.
Sunday, 30/01/2022 | 10:13 GMT by Nicholas Otieno
News

UK Gambling Commission Flags NFT Fantasy Football Platform Sorare

  • The regulatory organisation is now scrutinizing the platform.
Tuesday, 12/10/2021 | 06:04 GMT by Arnab Shome
News

FCA to Establish ‘Regulatory Nursery’ for Newly-Licensed Firms

  • The agency wants to closely observe these regulated companies.
Tuesday, 20/04/2021 | 14:55 GMT by Arnab Shome
Regulation

FCA Imposes £8.96 Million Fine on Charles Schwab UK

  • The regulator fined the broker for failing to protect the assets of retail customers.
Monday, 21/12/2020 | 11:54 GMT by Bilal Jafar
FinTech

oneZero Allows Clients to Select Multiple Regulatory Reporting Vendors

  • The vendors will access client data from oneZero’s Data Source.
Tuesday, 10/11/2020 | 09:43 GMT by Arnab Shome
Regulation

MAP Fintech Taps UnaVista for EMIR Reporting

  • This came as a replacement for the services of CME and Abide.
Monday, 05/10/2020 | 12:47 GMT by Arnab Shome
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