Maria Nikolova
Bafin, Deutsche Bank AG, featured, Postbank
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The special representative is tasked with monitoring the bank to ensure that it quickly and comprehensively resolves the disturbances.
Maria Nikolova
AML fine, FCA, featured
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ADM Investor Services International Limited (ADMISI), a broker, has been fined £6,470,600 for inadequate AML systems and controls.
Gerald Segal
featured, Muinmos, tax self-declarations, TConsult
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Muinmos’ clients can now automatically obtain ISDs instead of using multiple paper tax certification forms.
Maria Nikolova
FCA, featured, Part 4A permission
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The UK Financial Conduct Authority (FCA) has decided to cancel Tusk Capital Management Limited’s Part 4A permission.
Maria Nikolova
featured, Interactive Brokers, Nuveen Securities, SEC, William Blair
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The SEC has charged five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment advisers.
Maria Nikolova
Maxim Group, regulation sho, SEC
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The Securities and Exchange Commission (SEC) today announced settled charges against broker-dealer Maxim Group for violating federal securities laws.
Maria Nikolova
CFTC, featured, forex fraud, Lions of Forex
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From January 2019 to March 2021, Roberto Pulido, aided by Lions of Forex LLC, fraudulently solicited clients for the purported purpose of trading Forex.
Maria Nikolova
Dewet Moser, SNB, SNB Board
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Dewet Moser, Alternate Member of the SNB Governing Board, has chosen to retire early, in March 2024.
LEADING BROKERS
LATEST NEWS
BaFin appoints special representative for Deutsche Bank AG due to customer service disruption 
FCA fines ADM Investor Services International Limited £6.47M for AML deficiencies 
Nomura’s Laser Digital opens Japan office 
Nadex self-certifies XRP Crypto Touch Bracket Contracts 
UBS goes live on Broadridge’s sponsored repo solution built on DLR platform 
FNG NEWSLETTER
With FNG's Newsletter you'll get all the latest breaking FX Industry news stories - in a concise daily email, directly to your Inbox.
Maria Nikolova
Bafin, Deutsche Bank AG, featured, Postbank
0 Comments
The special representative is tasked with monitoring the bank to ensure that it quickly and comprehensively resolves the disturbances.
Maria Nikolova
AML fine, FCA, featured
0 Comments
ADM Investor Services International Limited (ADMISI), a broker, has been fined £6,470,600 for inadequate AML systems and controls.
Gerald Segal
featured, Muinmos, tax self-declarations, TConsult
0 Comments
Muinmos’ clients can now automatically obtain ISDs instead of using multiple paper tax certification forms.
Maria Nikolova
FCA, featured, Part 4A permission
0 Comments
The UK Financial Conduct Authority (FCA) has decided to cancel Tusk Capital Management Limited’s Part 4A permission.
Maria Nikolova
featured, Interactive Brokers, Nuveen Securities, SEC, William Blair
0 Comments
The SEC has charged five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment advisers.
Maria Nikolova
Maxim Group, regulation sho, SEC
0 Comments
The Securities and Exchange Commission (SEC) today announced settled charges against broker-dealer Maxim Group for violating federal securities laws.
Maria Nikolova
CFTC, featured, forex fraud, Lions of Forex
0 Comments
From January 2019 to March 2021, Roberto Pulido, aided by Lions of Forex LLC, fraudulently solicited clients for the purported purpose of trading Forex.
Maria Nikolova
Dewet Moser, SNB, SNB Board
0 Comments
Dewet Moser, Alternate Member of the SNB Governing Board, has chosen to retire early, in March 2024.
LEADING BROKERS
LATEST NEWS
BaFin appoints special representative for Deutsche Bank AG due to customer service disruption FCA fines ADM Investor Services International Limited £6.47M for AML deficiencies Nomura’s Laser Digital opens Japan office Nadex self-certifies XRP Crypto Touch Bracket Contracts UBS goes live on Broadridge’s sponsored repo solution built on DLR platform 
FNG NEWSLETTER
With FNG's Newsletter you'll get all the latest breaking FX Industry news stories - in a concise daily email, directly to your Inbox.
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