Roberto d'Ambrosio

Axiory CEO Roberto d’Ambrosio Named Best CEO in…

Business Worldwide Magazine (BWM) has announced the winners of its annual 2020 CEO Awards and has recognized Roberto d'Ambrosio, CEO of Axiory as Best CEO in the Forex (FX) Brokerage Industry' in the 2020 Business…

HSBC Australia

HSBC Expands Asian Currencies with New FX NDF…

HSBC’s FX Alternative Execution Services are expanding into local Asian currencies for its non-deliverable forwards (NDF) algorithm suite by launching a new offering called NDFlex. According to reports from Finance Magnates and Profit & Loss,…

Oanda-office-Canada-1000x640

OANDA to Acquire Polish Broker TMS to Expand…

Toronto-based multi-asset broker OANDA Global Corporation has just announced plans to acquire Poland-based multi-asset class broker Dom Maklerski TMS Brokers S.A. ('TMS'). The agreement includes a 100% share purchase of the polish company and is…

Investment Firms Decreased in the US in 2019

The total number of registered representatives in the United States has decreased slightly. FINRA, the Financial Industry Regulatory Authority, released its most recent industry snapshot. In 2019, there were 624,674 registered representatives in the US,…

House Accuses POTUS and Kodak of Insider Trading

The House Financial Services Committee is looking into the President and a long standing publicly trading company for insider trading. The House Financial Services Committee recently put out a statement questioning a deal with Kodak…

LSEG

DOJ Blesses Major Merger

The London Stock Exchange (LSEG) is in the process of merging with Refinitiv. LSEG, headquartered in London, operates the London Stock Exchange, the Italian stock exchange, Borsa Italiana, and several other trading platforms for trading…

Cannabis-Related Schemes

The Proverbial Sausage was Being Made by the…

The proverbial sausage was being made by the Securities and Exchange Commission (SEC) last week.  The SEC held one of its regular open meeting in which it considered two rules. The open meeting is part…

usa dodd/frank

Reflecting on Dodd/Frank after Ten Year Anniversary

Two people intimately involved in helping to craft the legislation, say that Dodd/Frank has functioned well. Dawn Stump and Dan Berkovitz are both now Commissioners on the Commodity Futures Trading Commission (CFTC). They recently joined…

Volcker Rule

Two individuals Heard their Nominations for Securities and…

Two individuals heard their nominations for the Securities and Exchange Commission (SEC) chairs in the US Senate.  The Senate Committee on Banking, Housing, and Urban Affairs, also known as the Senate Banking Committee, held a…

Productivity Remains for Broker/Dealers Working From Home

In the last episode of the FINRA podcast, FINRA Unscripted, the podcast recorded part of a recent FINRA virtual conference. The conference panel consisted of FINRA CEO Robert Cook, Member Supervision Head Bari Havlik and Chief…