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…
Hedge Fund Manager to Pay $5 Million for…
Washington D.C., June 4, 2019 — The Securities and Exchange Commission today announced that a private fund manager in the mortgage-backed securities space has agreed to pay a $5 million penalty to settle charges stemming…
SEC Seeks Emergency Relief to Halt Ponzi Scheme…
Washington D.C., June 3, 2019 — The Securities and Exchange Commission today announced an emergency action charging a recent college graduate with orchestrating a Ponzi scheme that targeted college students and young investors. The SEC…
Thai Listed Securities Report 4.4 Percent Sales Growth…
Thai Listed Securities Report 4.4 Percent Sales Growth in Q1/2019. Q1 Total sales up 4.4 pct to THB 2.92 trillion. - Net profits worth THB 2.53 billion, down 9.3 pct y-o-y during Jan-Mar - Food…
LSEG Acquires Beyond Ratings to Integrate ESG Into…
Beyond Ratings will sit within LSEG’s Information Services Division (ISD), which also includes FTSE Russell, and will operate as a contained business within the ISD. London Stock Exchange Group (LSEG) has acquired Beyond Ratings, a provider…
Chairman Giancarlo to Receive Freedom of the City…
Washington, DC — Commodity Futures Trading Commission (CFTC) Chairman J. Christopher Giancarlo has been nominated to receive the Freedom of the City of London on Tuesday, June 4, 2019. “I am deeply humbled by this honor,”…
FINRA Forms Office of Financial Innovation, Announces Haimera…
WASHINGTON – FINRA today announced the formation of an Office of Financial Innovation that will serve as a central point of coordination for issues related to significant financial innovations by FINRA member firms, particularly new…
Broadridge to Launch Investor Voting App
The Investor Voting App, which builds on the firm's mobile voting feature launched in 2011, allows investors to vote directly and receive important regulatory and educational information relating to corporate direction. Broadridge Financial Solutions has…
Are You Prepared for Your Financial Future? Use…
Chairman Jay Clayton Breaks Down Investment Basics in New Video Series. Washington D.C., April 1, 2019 — Are you prepared for your financial future? That’s the question the Securities and Exchange Commission's Office of Investor…