OANDA, New York based forex trading serving provider recently revealed in an announcement that it has made a new addition to its APAC region senior level leadership team. As per statement released by the firm…
SEC and FINRA to Hold National Compliance Outreach…
WASHINGTON — The Securities and Exchange Commission (SEC) and FINRA announced today the opening of registration for their 2019 National Compliance Outreach Program for Broker-Dealers, which will be held June 27, in Chicago, IL. The program is designed to provide…
FINRA Releases 2019 Risk Monitoring and Examination Priorities…
FINRA today released its 2019 Risk Monitoring and Examination Priorities Letter, highlighting new priorities as well as identifying areas of ongoing concern that FINRA will continue to review in the coming year. This year’s letter’s focus…
Observations on Culture at Financial Institutions and the…
[caption id="attachment_91111" align="alignleft" width="225"] Jay Clayton, SEC Chairman[/caption] Speech: Chairman Jay Clayton New York, NY June 18, 2018 Thank you Bill [Dudley] for that kind introduction and for inviting me to speak today.[1] I’m planning to…
Nomura Research Institute revamps securities back-office solution
Nomura Research Institute announced an entirely revamped securities back-office solution for wholesale brokerage firms, which has been rebranded from I-STAR to I-STAR/CORE. The service has a dominating share in Japan’s capital markets, including 40 percent of…
Dubai stock exchange allows short selling
Dubai Financial Market (DFM) launched the Regulated Short Selling (RSS) Service after completion of all regulatory, technical and procedural preparations. Short selling will allow market participants to strengthen their trading activities, better utilize their…