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.
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Industry News
Brokers, prop firms, liquidity, payments: what changed in the trading industry today.
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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)
Seed CX Raises $15m From Bain to Expand Crypto Exchange for Trading Industry
Institutional crypto exchange Seed CX plans to use the $15 million raised to expand trading infrastructure, network, and human resources.
Nasdaq May Acquire Cinnober for $190m to Make 10% 3-5 Year ROIC
Cinnober's board of directors is supportive of Nasdaq's acquisition offer valued at $190 million.
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.
TradingScreen Upgrades OEMS With Checks And Balances Feature
Customers of the company's TradeSmart OEMS will now be able to enjoy a new tool to ensure full pre-trade compliance.