CFD

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Market Making, Leveraged Products and Investor Protection– Finance for Compliance Professionals

Last week, the German financial regulator BaFin, felt compelled to publish a notice on investor protection with regard to Market Making with a focus on derivatives and structured products. The increasing number of complaints the financial watchdog had received from investors in particular in respect of leveraged products such as Contracts for difference (CFDs), Forex …

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The end of CFDs and Binary Options? – Why the EU has put a stop & what comes next

The writing has been on the wall: times for CFDs and Binary Options are getting more difficult with the latest announcements from the European financial watchdog, ESMA (European Securities and Markets Authority) to ban the marketing, distribution and sale to retail investors. Does this CFD ban and prohibition of Binary Options mark the end of the …

The end of CFDs and Binary Options? – Why the EU has put a stop & what comes next Read More »

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European Regulator Prohibits Binary Options and Restricts CFDs

The European Securities and Markets Authority (ESMA) has agreed on measures on the provision of contracts for differences (CFDs) and binary options to retail investors in the European Union (EU). The agreed measures include: Binary Options – a prohibition on the marketing, distribution or sale of binary options to retail investors; Contracts for Differences – a …

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Regulators ponder moves against CFDs and cryptocurrency derivatives

The pressure on derivatives that are considered high risk for retail investors is increasing. Already under growing scrutiny, now ESMA, the European watchdog, has emphasised its concerns about CFDs, including spot forex, binary options and cryptocurrency derivatives that could lead to regulatory measures including an outright ban of the instrument. Contracts for Difference are increasingly …

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ESMA publishes updated Q&A on CFDs and other speculative products

The European Securities and Markets Authority (ESMA) has published today an updated version of its question and answer document (Q&A) on the application of the Markets in Financial Instruments Directive (MiFID) to the marketing and sale of financial contracts for difference (CFDs) and other speculative products to retail clients (such as binary options and rolling …

ESMA publishes updated Q&A on CFDs and other speculative products Read More »

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ESMA issues warning on sale of speculative products to retail investors

The European Securities and Markets Authority (ESMA) has today issued a warning about the sale of contracts for differences (CFDs), binary options and other speculative products to retail investors who are unaware of the risks associated with these products, and also highlights the regulatory action taken in relation to several Cyprus-based investment firms. The warning …

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ESMA advises on marketing and sale of CFDs and other speculative products to retail clients under MiFID

The European Securities and Markets Authority (ESMA) has published today an updated version of its question and answer document (Q&A) on the application of the Markets in Financial Instruments Directive (MiFID) to the marketing and sale of financial contracts for difference (CFDs) and other speculative products to retail clients (such as binary options and rolling …

ESMA advises on marketing and sale of CFDs and other speculative products to retail clients under MiFID Read More »

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ESMA publishes Q&A on CFDs and other speculative products

The European Securities and Markets Authority (ESMA) has published today an updated version of its question and answer document (Q&A) on the application of the Markets in Financial Instruments Directive (MiFID) to the marketing and sale of financial contracts for difference (CFDs) and other speculative products to retail clients (such as binary options and rolling …

ESMA publishes Q&A on CFDs and other speculative products Read More »

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ESMA publishes new Q&A on CFDs and other speculative products

The European Securities and Markets Authority (ESMA) has published today a new question and answer document (Q&A) on the application of the Markets in Financial Instruments Directive (MiFID) to the marketing and sale of financial contracts for difference (CFDs) and other speculative products to retail clients (such as binary options and rolling spot forex). These …

ESMA publishes new Q&A on CFDs and other speculative products Read More »

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