Following the British regulatory authority's recent remit to toughen its stance, Execution Noble has been issued with a fiscal penalty representing the first time that the FCA has censured a firm over sponsorship activity
Read moreICE's new, more stringent ruling which bans what the company considers 'disruptive' high frequency trading (HFT) has been decided at a time when electronic exchanges walk a delicate balance between being market regulators and satisfying their largest customers
Read moreSenior lawyer Rupert Shaefer will assume the position of Head of Strategic Services at FINMA following Nina Arquint's standing down on January 1, 2015
Read moreThe staff of the Commodity Futures Trading Commission today issued no-action relief for certain Regulation 1.35(a) recordkeeping requirements. The relief is granted to commodity trading advisors (CTAs) registered with the CFTC that are also members of a designated contract market or swap execution facility (SEF) from Rule 1.35(a)’s oral record keeping requirements. The relief also…
Read moreBritain's FCA committed to undertaking a post-implementation review of how retail financial products are provided to help the regulatory authority determine the extent to which the RDR was delivering the outcomes it was designed to achieve.
Read moreDaniel Joffe and Nathan Stromer admit that 10 and 14 November 2006 inside information was received relating to a proposed takeover of AIH by Alinta Limited, with one party passing it to the other who acquired 962,000 CFDs in AIH.
Read moreA memorandum of understanding between ASIC and ESMA has been signed by both parties on the reporting of OTC derivatives, indicating further progress made by national and continental regulators in order to ensure cross-border standardization of regulatory structures.
Read moreAndrew Saks-McLeod looks at the structure of regulatory authorities in areas with a populous FX industry and examines which have the customers' interests covered
Read moreOntario's provincial regulator has published a warning to potential investors that 777binary.com is not licensed to provide financial services to customers within its jursdiction
Read moreAustralia's national financial markets regulatory authority continues to keep pace with technological change in the financial sector, introducing digital methods of boosting investors' understanding of financial products
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