SEC Obtains Asset Freeze to Halt Alleged Offering Fraud
SEC announced that it has obtained a temporary restraining order and asset freeze against a California solar panel company and three executives.
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Industry News
Brokers, prop firms, liquidity, payments: what changed in the trading industry today.
6,737 stories since 2017 · page 114 of 337
December 2019
Jefferies to Pay Nearly $4 Million for Improper Handling of ADRs
SEC today announced that broker-dealer Jefferies LLC will pay nearly $4 million to settle charges of improper handling of ADRs.
Tools for Brokers Enhances Quote Aggregation and Trading Execution
Tools for Brokers has enhanced the Trade Processor system with the ability to aggregate quote feeds and trading execution in the liquidity.
Invast Global Expands Suite of Index & Commodity CFDs Ahead of 2020
The multi-asset prime broker has expanded the suite of Index & Commodity CFDs by releasing two new Cash Oil CFDs; Brent Crude Oil and WTI Crude Oil.
Trading Technologies Available to SBI Thai Online Clients
Trading Technologies available to SBI Thai Online clients. The global provider of high-performance trading software has partnered with SBI Thai Online.
APRA Flags Setting Countercyclical Capital Buffer at Non-zero Default Level
APRA has decided to keep the countercyclical capital buffer (CCyB) for authorised deposit-taking institutions (ADIs) on hold at non-zero default level.
Former Congressman and Two Others Settle Insider Trading Charges
SEC announced settlements with former U.S. Rep. Christopher Collins, his son Cameron Collins, and Stephen Zarsky, all got insider trading charges.
SEC Obtains Touting and Fraud Judgment Against Colorado Cannabis Stock Promoter
Colorado Cannabis Stock Promoter agreed to pay to settle the U.S. Securities and Exchange Commission's charges for fraudulently trading a cannabis stock.
ASIC Suspends the AFS Licence of Australian Golden Securities Ltd
ASIC has suspended the (AFS) licence of Melbourne-based financial services provider Australian Golden Securities Ltd until 21 May 2020.
DTCC Integrates MF Info Xchange With Other Mutual Fund Services
The premier post-trade market infrastructure for the global financial services industry has enhanced its MF Info Xchange with new capabilities.
CubeLogic’s Sentiment Analysis Available to IOWA.rocks Community
IOWA.rocks, the one-stop-shop for all data needs, has welcomed CubeLogic and its CubeWatch sentiment analysis solution into their community.
Markets Rally on Trade Deal GBPUSD at Twelve-Month Highs
GBPUSD trades at 12-month highs at 1.3401 after the Conservatives won the elections as we are getting closer to the Brexit deadline on January 31st, 2020.
APRA Publishes MySuper Heatmap
APRA has published its first heatmap providing assessments of the performance of every MySuper heatmap superannuation product.
Introductory remarks by Fritz Zurbrügg – News Conference by Swiss National Bank
Remarks by Fritz Zurbrügg - Conference by Swiss National Bank on the significance of climate change for financial stability.
Pershing Securities Australia Charged with Breaching Client Money Obligations and Accepts Additional Licence Conditions
Pershing Securities Australia charged with two counts of failing to pay client money into an account and one count of failing to comply with requirements.
Boerse Stuttgart Opens Digital Exchange to All Investors in Germany
Boerse Stuttgart Digital Exchange (BSDEX) is now open to all investors based in Germany, almost 24 hours, seven days a week.
Instinet Launches Agency-Model Electronic Trading Platform for Spot FX
Instinet launches agency-model electronic trading platform for Spot FX. The launch of Newport FX, a web-based desktop application.