BCSC Panel Permanently Bans Surrey Man from Capital Markets
BCSC Bans Surrey Man from Capital Markets, BCSC panel has banned Roberto Castano from any involvement in securities transactions.
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Industry News
Brokers, prop firms, liquidity, payments: what changed in the trading industry today.
6,737 stories since 2017 · page 279 of 337
November 2018
EBA Stress Test Results of European Banks Published
The European Banking Authority (EBA) today announced the results of the EU-wide stress test of 48 European banks, including DNB Bank ASA.
IIROC secures greater enforcement authority in Northwest Territories, Nunavut and Yukon
IIROC secures greater enforcement authority in Northwest Territories, Nunavut and Yukon. They join seven provinces in strengthening investor protection.
Ong Chong Tee: Technological Innovation and Supervision of Financial Institutions
Keynote speech by Mr Ong Chong Tee, Deputy Managing Director, Ong Chong Tee: Technological Innovation and Supervision of Financial Institutions.
SEC Enforcement Division Issues Report on FY 2018 Results
SEC’s Enforcement Division today issued the annual report of its ongoing efforts to protect investors and market integrity.
ASIC’s Perspective on Small Business
ASIC's Perspective on Small Business, Speaking notes for an address by John Price, Commissioner, Australian Securities and Investments Commission.
SEC Charges Family Friend of Former Investment Banker With Insider Trading
SEC today charged an IT professional in Texas who allegedly participated in an insider trading scheme perpetrated by a former Wall Street investment banker.
Launch of the Future Forum 2018: Let’s Decide the Future of Money
Launch of the Future Forum 2018: Let’s Decide the Future of Money. Governor of the Bank of England announced the details of the Bank’s annual Future Forum.
CME Group Averaged 20.6 Million Contracts Per Day in October 2018, Up 38% from October 2017
CHICAGO, Nov. 2, 2018, /PRNewswire/. CME Group Averaged 20.6 Million Contracts Per Day in October 2018, Up 38% from October 2017.
TP ICAP Confirms Acquisition of Axiom Commodity Group, Also Reports Flat Revenue Growth
TP ICAP will be making initial $15.1 million payment in cash for the Axiom acquisition, further payments linked to performance of the company.
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
The Securities and Exchange Commission today announced SEC Updates List of Firms Using Inaccurate Information to Solicit Investors.
Intercontinental Exchange Chief Financial Officer Scott Hill to Present at J.P. Morgan Ultimate Services Investor Conference on November 12, 2018
Intercontinental Exchange Chief Financial Officer Scott Hill to Present at J.P.
FINRA Fines LPL $2.75 Million for Complaint-Reporting and AML Program Failures
FINRA announced today that it has fined LPL Financial, LLC $2.75 million for complaint-reporting and AML program failures.