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Industry News
Brokers, prop firms, liquidity, payments: what changed in the trading industry today.
6,737 stories since 2017 · page 277 of 337
November 2018
Stock Research Firm and Co-Founders Charged With Deceiving Investors in Supposedly Unbiased Reports
The Securities and Exchange Commission today charged a stock research firm and its co-founders with defrauding investors by issuing reports purportedly.
J5 Countries Host Data ‘Challenge,’ Closing in on Enablers of Tax Evasion
This week, Canada Revenue Agency (CRA) officials participated in a five-nation challenge to optimize international coordination against tax evasion.
Court Orders Penalties and Other Relief Against Westpac for BBSW Conduct
The Federal Court of Australia today ordered Westpac Banking Corporation (Westpac) pay a pecuniary penalty of $3.3 million.
Ten Years After the Crisis: Evolving Markets and the Challenges for the SNB
Ten Years After the Crisis: Evolving Markets and the Challenges for the SNB. Andréa M. Maechler / Thomas Moser, Member of the Governing Board.
ASIC Cancels AGM Markets Licence for Unconscionable Conduct and Unmanaged Conflicts of Interest
An ASIC investigation, ASIC has cancelled the Australian financial services (AFS) licence of the retail OTC derivative issuer, AGM Markets.
SEC Charges ITG With Misleading Dark Pool Subscribers
SEC Charges ITG With Misleading Dark Pool Subscribers to settle charges arising from ITG’s misstatements and omissions about the operation.
SEC Charges EtherDelta Founder With Operating an Unregistered Exchange
The Securities and Exchange Commission today announced settled charges against Zachary Coburn, the founder of EtherDelta a digital "token" trading platform.
National Survey: Investors Support Proposed IIROC Enforcement Alternatives
National Survey: Investors Support Proposed IIROC Enforcement Alternatives. Canadians favour flexible, proportionate approach to discipline.
RBNZ: Official Cash Rate Unchanged at 1.75 Percent
The Official Cash Rate (OCR) remains at 1.75 percent. We expect to keep the OCR at this level through 2019 and into 2020.
IIF and EY Release Ninth Annual Global Bank Risk Management Survey
IIF and EY Release Ninth Annual Global Bank Risk Management Survey, Risk Management Function Must Evolve to Become Trusted Advisors.
London Stock Exchange Group Launches Reports on African Capital Markets
London Stock Exchange Group Launches Reports on African Capital Markets. Five reports on different aspects of capital market development launched today.
Moscow Exchange Releases it Q3-2018 Financial Results, Reports Flat Net Profit Growth
The exchange during the quarter reported higher fee and commission income, but higher non-operating cost wiped out the growth in profits.
Making Sense of Financial Markets Worth the Effort, Governor Poloz Says
It can be a challenge for central banks to reconcile their views of the economy with signals from financial markets, but the effort is worthwhile.
CME Group to Host 11th Annual Global Financial Leadership Conference
CME group today announced it will host the 11th annual Global Financial Leadership Conference Nov. 12-14, at the Ritz-Carlton Beach Resort in Naples, Fla.
