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Magnifying glass revealing the word FRAUD

CFTC charges Chicago-area trader with ongoing forex and commodity fraud

Wed, 19/12/2018 - 09:02

The Commodity Futures Trading Commission (CFTC) has filed a civil enforcement action against Dro Kholamian of Barrington, Illinois, and his company, Blue Star Trading, LLC (Blue Star), an Illinois limited liability company with an office in Park Ridge, Illinois. »

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TISA’s MiFID II project delivers open standards solution

Tue, 11/12/2018 - 09:05

TISA, the investments and savings membership alliance, has achieved ISO accreditation for the open standards underpinning the downstream and upstream reporting of Costs & Charges and Target Market Data in its MiFID II solution. »

PIMFA calls for suspension of the PRIIPs regime in the interests of investor understanding

Fri, 07/12/2018 - 09:32

PIMFA, a trade association for wealth managers and financial advisers, believes that information being provided to investors in accordance with the PRIIPs KID regime is doing them more harm than good and that the ESAs’ hastily-drafted proposals for amending KID performance scenarios are unlikely to improve the situation. »

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S&P DJI establishes EU authorised benchmark administrator in Amsterdam

Wed, 05/12/2018 - 10:50

The Dutch Authority for Financial Markets (AFM) has granted S&P DJI Netherlands (S&P DJI BV) authorisation as a regulated Dutch benchmark administrator, under the EU benchmark regulation. »

Judgement hammer

SEC charges two celebrities with unlawfully touting coin offerings

Fri, 30/11/2018 - 11:00

The SEC has issued and settled charges against professional boxer Floyd Mayweather Jr and music producer Khaled Khaled, known as DJ Khaled, for failing to disclose payments they received for promoting investments in Initial Coin Offerings (ICOs).  »

PIMFA calls for FSCS review following further interim levy announcement

Thu, 29/11/2018 - 09:13

PIMFA, the trade association for investment managers and financial advisers, has called for an urgent review of the financial services compensation scheme (FSCS) following yet another announcement of an interim levy that the industry will be expected to pay. »

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BCS Global Markets obtains transaction banking license to develop integrated payment and investment model

Fri, 16/11/2018 - 09:41

The London-based business of BCS Global Markets (BCS GM) has obtained a transaction banking license to provide clients with an integrated investment banking and payment services solution. »

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Global institutional cryptocurrency brokerage BCB Group secures Swiss regulated financial intermediary licence

Wed, 07/11/2018 - 10:45

BCB Group has secured Swiss regulatory approval as a financial intermediary for its cryptocurrency prime brokerage service by VQF, an authorised SRO by the Swiss Financial Markets Supervisory Authority FINMA.   »

Capital.com secures FCA approval

Wed, 31/10/2018 - 10:43

Capital.com has received approval from the UK Financial Conduct Authority (FCA) and is now regulated under the FCA’s code of practice and ethics for firms offering financial services. »

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Carey Olsen teams up with Global Legal Insight on first edition of Blockchain & Cryptocurrency Regulation

Fri, 19/10/2018 - 19:11

A cross-jurisdictional team of lawyers from Carey Olsen have contributed to Global Legal Insight's first edition of Blockchain & Cryptocurrency Regulation. »

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