Broker-Dealer to Pay $2.75 Million Penalty for Providing Deficient Blue Sheet Data
SEC today announced that Convergex Execution Solutions LLC will $2.75 Million Penalty for Providing Deficient Blue Sheet Data.
September 2018
The Financial Conduct Authority Bans Former Deutsche Bank trader, Christian Bittar
The Financial Conduct Authority (FCA) has banned Christian Bittar from performing any function in relation to any regulated financial activity.
Mary C. Daly Appointed New Bank President
The Federal Reserve Bank of San Francisco appointed Mary C. Daly to the position of president and chief executive officer, effective October 1, 2018.
ASIC Provides Regulatory Approvals for a Proposed New Product and ETFs for the Chi-X market
ASIC has updated the market integrity rules and Provides Regulatory Approvals for a Proposed New Product and ETFs for the Chi-X market.
Staff Statement Following the First Post-Programme Mission to Greece
Staff Statement Following the First Post-Programme Mission to Greece from the European Central Bank and the International Monetary Fund.
ASIC Commences Civil Penalty Proceedings Against ANZ for Alleged Continous Disclosure Breach in Relation to 2015 Institutional Equity Placement
ASIC Commences Civil Penalty Proceedings Against ANZ for Alleged Continous Disclosure Breach in Relation to 2015 Institutional Equity Placement.
Our Approach to Overseas Market Operators Seeking to Apply to Become a Recognised Overseas Investment Exchange (ROIE)
FCA - Our Approach to Overseas Market Operators Seeking to Apply to Become a Recognised Overseas Investment Exchange (ROIE)
Upcoming Elections for FINRA Committee
FINRA, the Financial Industry Regulatory Authority, will soon have an election for two members of the Small Member Firm Committee.
ICE Data Services and Onemarketdata to Offer Real-time Streaming Tick Data and Analytics
Intercontinental Exchange, Inc. (NYSE:ICE) announced ICE Data Services and Onemarketdata to Offer Real-time Streaming Tick Data and Analytics.
4th UK-Singapore Financial Dialogue Discusses Financial Market Developments and Areas for Further Collaboration
4th UK-Singapore Financial Dialogue Discusses Financial Market Developments and Areas for Further Collaboration in London yesterday.
ASIC Reports on Review of ASX Group’s Technology Governance and Operational Risk Management Standards
AASIC has today released a Reports on Review of ASX Group’s Technology Governance and Operational Risk Management Standards.
ASIC approves Australian Financial Complaints Authority Rules
The Australian Securities and Investments Commission (ASIC) has approved the Australian Financial Complaints Authority Rules.
Sultan Al Mansoori Issues Decision Amending Securities Brokerage Regulations
Sultan Al Mansoori Issues Decision Amending Securities Brokerage Regulations.
DFSA Board Appoints Bryan Stirewalt as Next Chief Executive
The Board of Directors (“Board”) of the Dubai Financial Services Authority (“DFSA”) has today announced Bryan Stirewalt as Next Chief Executive.
KiwiSaver Risk Quiz Highlights Key Messages for Investors
People who took the FMA’s KiwiSaver Risk Quiz understood the importance of keeping contributing through any investment downturn.
Unavista Expands Partner Programme to Include New Pillar for Consultants
Unavista Expands Partner Programme to Include New Pillar for Consultants, UnaVista’s successful Partner Programme launches new pillar for consulting firms.
Bittrex Announces Formation of Bittrex International
Bittrex today announced the formation of Bittrex International Inc., an affiliate of Bittrex Inc. The company will own and manage ventures outside the U.S.
Statement on the Expiration of the Tick Size Pilot
Statement on the Expiration of the Tick Size Pilot, Commission approved the National Market System Plan to Implement a Tick Size Pilot Program.
SFC Welcomes Appointment of Chairman
SFC welcomes the appointment by the Chief Executive of Mr Tim Lui Tim-leung as the Chairman of the SFC for a term of three years from 20 October 2018.
Also filing this week: Rick Steves, Karthik Subramanian and Abdelaziz Fathi.