OANDA, New York based forex trading serving provider recently revealed in an announcement that it has made a new addition to its APAC region senior level leadership team. As per statement released by the firm…
IIROC and Canadian Securities Administrators consult on internalization…
The Investment Industry Regulatory Organization of Canada (IIROC) and the Canadian Securities Administrators (CSA), today published a consultation paper to seek input on internalization practices on Canadian equity marketplaces and how these activities fit within…
IIROC Releases Compliance Priorities Report for 2018/19
The Investment Industry Regulatory Organization of Canada (IIROC) today published its annual Compliance Priorities Report a review of the issues and trends identified through the past year’s compliance and registration activities, that also provides a…
SFC Reprimands and Fines Ardon Maroon Fund Management…
The Securities and Futures Commission (SFC) has reprimanded and fined Ardon Maroon Fund Management (Hong Kong) Limited (Ardon Maroon) (now known as China Silver Asset Management (Hong Kong) Limited) $800,000 for cross-trade related failures in…
SEC Enforcement Division Issues Report on FY 2018…
Washington D.C., Nov. 2, 2018 — The Securities and Exchange Commission’s Enforcement Division today issued the annual report of its ongoing efforts to protect investors and market integrity. The report also highlights several significant actions and initiatives…
LSEG Joins World Federation of Exchanges
London Stock Exchange Group, Boursa Kuwait, Multi Commodity Exchange of India (MCX), Tunis Stock Exchange, China Securities Depository and Clearing Corporation (CSDC), and Nairobi Securities Exchange, have joined the global industry group for exchanges and…
CFTC Says Millennials Vulnerable to Scams
[caption id="attachment_317855" align="alignleft" width="196"] James McDonald, CFTC’s Director of the Division of Enforcement[/caption] The Commodities Futures Trading Commission’s (CFTC) head of enforcement noted that scammers are using some of the most popular technology to target…
Bureau Joins Task Force on Market Integrity and…
Scammers are constantly finding new ways to steal money from their victims, and anyone can potentially be a target. The Bureau is part of a new Task Force on Market Integrity and Consumer Fraud, created…
Market Integrity Task Force Formed
Four US agencies announced a new market integrity task force. The four agencies are: the US Department of Justice (USDOJ), the Securities and Exchange Commission (SEC), the Consumer Financial Protection Bureau (CFPB), and the Federal…