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Regulation

UAE Securities and Commodities Authority Restructures Licences

  • The move is aimed at implementing the integrated financial brokerage institution model, which includes FX brokers.
Thursday, 09/07/2020 | 10:39 GMT by Finance Magnates Staff
News

Croatian Regulator Approves Griffon’s Bitcoin Investment Fund

  • There will be a management fee of 2.5 percent with no performance fees.
Monday, 11/05/2020 | 08:00 GMT by Arnab Shome
Regulation

SC to Allow Capital Market Product Distribution via e-Service Platforms

  • Operators of e-wallet or e-payment applications can now partner with Capital Markets Services Licence holders - SC Malaysia
Tuesday, 05/05/2020 | 13:03 GMT by Finance Magnates Staff
Brokers

ISA to Adopt ESMA-Like Restrictions on FX Trading

  • The Israeli watchdog wants to lower leverage on trading and mandate publishing loss statistics
Sunday, 03/11/2019 | 11:13 GMT by Finance Magnates Staff
Regulation

ASIC Reports "High Incidence" of CFD Broker Misconduct

  • The Aussie regulator made the comments in its recently published annual report
Thursday, 17/10/2019 | 11:10 GMT by David Kimberley
Regulation

FCA and Dutch AFM Announce Closer Partnership

  • The two regulators will be working more closely together in the event of a no-deal Brexit
Wednesday, 05/06/2019 | 09:12 GMT by David Kimberley
Regulation

FCA: We Want Healthier Culture in Financial Services Industry

  • In a report outlining its plans for the next year, the British regulator also said it wants improved cybersecurity measures
Wednesday, 17/04/2019 | 08:59 GMT by David Kimberley
Regulation

Polish Regulator: Retail Traders Lost $151 Million in 2018

  • The PFOC also noted that just over a fifth of Polish traders were profitable last year
Wednesday, 03/04/2019 | 15:03 GMT by David Kimberley
Brokers

Exclusive: ASIC Issues First Retail Broker License in Two Years

  • The Australian regulator has been mute for a while when it comes to new retail brokers
Monday, 18/03/2019 | 13:09 GMT by Victor Golovtchenko
Regulation

Japan's FSA Announces New Chief Sustainable Finance Officer

  • Satoshi Ikeda, who has led prior ESG projects for the regulator and the G20, will take up the new role
Friday, 15/03/2019 | 11:50 GMT by David Kimberley
Regulation

FCA May Impose Exit Fee Ban on Retail Investment Platforms

  • The British regulator said that it wants to make it easier for investors to move funds between platforms
Thursday, 14/03/2019 | 09:46 GMT by David Kimberley
Regulation

SFC Suspends License of Ex-China Merchants Securities Banker

  • The Hong Kong regulator says that Wu Yinong failed to meet compliance standards relating to a 2009 IPO
Wednesday, 27/02/2019 | 14:49 GMT by David Kimberley
Regulation

ESMA to Focus on TR Data, Cybersecurity and Brexit in 2019

  • The pan-European regulator has already approved three UK CCPs to work in Europe post-Brexit
Tuesday, 19/02/2019 | 11:06 GMT by David Kimberley
Regulation

FINRA Reports Explosion in Market Data Volumes in 2018

  • The regulatory body attributed the increase to spikes in volatility and growth in market electronification
Tuesday, 05/02/2019 | 14:31 GMT by David Kimberley
Regulation

MFSA Adds 7 Firms to Warning List in Single Day

  • Amongst the firms are are a number of retail FX and cryptocurrency brokers.
Tuesday, 15/01/2019 | 09:14 GMT by David Kimberley
Regulation

Financial Conduct Authority Flags KBC Securities Scammer

  • A fraudster has been trying to steal cash by pretending to represent the investment firm
Friday, 04/01/2019 | 16:19 GMT by David Kimberley
Regulation

Austrian FMA Adds Green Bonds Investment Scam to Warning List

  • Marcus Ortner claims to be regulated by the UK's FCA.
Friday, 04/01/2019 | 11:51 GMT by David Kimberley
Brokers

Breaking: FCA Proposes Temporary CFDs Restrictions to Become Permanent

  • After two temporary 3 month bans, the UK regulator is paving the way to a permanent change to the market.
Friday, 07/12/2018 | 07:34 GMT by Victor Golovtchenko
Brokers

BaFin Releases Three-Page Guide Against Online Trading Scams

  • The German regulator said that scammers generally offer CFDs, binary options and cryptocurrencies.
Tuesday, 04/12/2018 | 14:34 GMT by David Kimberley
Brokers

BaFin Warns Against Trading with UB4TRADE

  • The unregulated broker's parent company actually shut down earlier this month.
Tuesday, 27/11/2018 | 18:04 GMT by David Kimberley
Regulation

Japan’s FSA Inks Deal with French Regulators to Promote Innovation

  • The FSA signed an agreement with the Autorité des Marchés Financiers and the Autorité de Contrôle Prudentiel et de Résolution.
Monday, 19/11/2018 | 11:19 GMT by Celeste Skinner
Brokers

Bulgarian Regulator Suspends License of Matador Prime

  • A special administrator has been appointed to oversee the interests of clients of the Spanish brokerage
Thursday, 11/10/2018 | 17:37 GMT by Victor Golovtchenko
Regulation

The Challenging Role of a Compliance Officer in the New Regulatory Landscape

  • A progressive value-added compliance officer should be forward thinking and commercially minded
Tuesday, 14/08/2018 | 15:49 GMT by Rod Martenstyn
Execution

IG Group Expects Revenues Contraction in Fiscal 2019

  • Regulatory changes are set to hamper growth for a year before returning to normal.
Monday, 13/08/2018 | 12:24 GMT by Celeste Skinner
Retail FX

British Insolvency Service Shuts Down Owner of Unregulated Broker Trade12

  • The regulator found that Global Fin Services had used high pressures sales tactics to defraud customers
Thursday, 02/08/2018 | 12:10 GMT by David Kimberley
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