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Legislative news

The latest legislative news. If you have a piece of news that you would like us to cover, please contact us.

Sarkozy says France to tax financial transactions from August

Posted on: 30 January 2012 | Source: Bloomberg

France plans to unilaterally impose a 0.1 percent tax on financial transactions starting in August...

Regulators demand action on Legal Entity Identifiers

Posted on: 18 January 2012 | Source: Finextra

Regulatory authorities have called for the creation of a universal Legal Entity Identifier in their final report on OTC derivatives...

EU’s Financial Transaction Tax could increase FX costs by 9 to 18 times for Europe’s pension funds and businesses

Posted on: 17 January 2012 | Source:

Warning comes from research commissioned by GFMA’s Global FX Division...

Former UBS trader to fight £1.25m fine from FSA

Posted on: 14 December 2011 | Source: Bobsguide

Former UBS trader claims the practice was ‘encouraged’ at the firm...

EFAMA welcomes commission proposals on social entrepreneurship & venture capital funds

Posted on: 8 December 2011 | Source:

Two proposals published to further the Single Market on investment management...

HSBC fined £10.5m for mis-selling to elderly in care

Posted on: 5 December 2011 | Source:

Unsuitable sales prompt largest retail fine to date from the Financial Services Authority (FSA)...

Paragon FX charged by the CFTC as an unregistered RFED

Posted on: 5 December 2011 | Source: Leap Rate

Court enters order freezing Paragon FX's assets...

NFA to provide regulatory services to FX Alliance’s swap execution facility

Posted on: 5 December 2011 | Source: FX Alliance Inc.

Agreement establishes a preliminary framework for information exchange and the development of technology standards...

CFTC orders audit of all futures commission merchants (FCMs)

Posted on: 14 November 2011 | Source: Steve Shaw, Editor, FX-MM

Audit will ensure that customer money is protected in the wake of the collapse of MF Global...

HSBC chief calls for tighter bonus regulation

Posted on: 2 November 2011 | Source: Steve Shaw, Editor, FX-MM

Stuart Gulliver says banks should have their powers to hand out dividends and bonuses restricted when in serious financial problems...

Schauble calls for EU lead on Tobin Tax

Posted on: 31 October 2011 | Source: Steve Shaw, Editor, FX-MM

EU should take the global lead in introducing a financial transaction tax to curb speculative trading...

Credit Suisse UK receives $9.5m fine by FSA

Posted on: 26 October 2011 | Source: Steve Shaw, Editor, FX-MM

Investigation revealed failings in its structured capital at risk products (SCARPs) sales business in the UK...

Pipeline pays $1m to settle SEC case

Posted on: 25 October 2011 | Source: Steve Shaw, Editor, FX-MM

Pipeline Trading Systems will pay $1 million to settle SEC charges that it failed to tell users of its dark pool that the vast majority of orders were filed by an affiliated operation...

EU financial markets get ready for MiFID II

Posted on: 19 October 2011 | Source: Steve Shaw, Editor, FX-MM

The European Commission is this week meeting to finalise the details of a new set of rules governing competition and transparency in the capital markets...

New study evaluates impact of regulation on OTC derivatives

Posted on: 30 September 2011 | Source: Woodbine Associates

Report details new hedging and transaction costs that derivative traders and end users will face from the Dodd-Frank Act and Basel III...

 

 

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