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…
Canadian Securities Regulators Collaborate to Protect Investors and…
Montreal – The Canadian Securities Administrators (CSA) today released its fiscal year 2019/20 Enforcement Report, which outlines how securities regulators are protecting investors and the integrity of Canada’s capital markets. Highlights from the fiscal year 2019/20 Enforcement…
The Head of Enforcement at FINRA was the…
FINRA is the Financial Industry Regulator Authority, and it is the self-regulatory organization over the securities industry in the US. Jessica Hopper is FINRA’s new Executive Vice President and Head of Enforcement, and she was…
IOSCO Issues Crypto Trading Report for Regulators
The Board of the International Organization of Securities Commissions (IOSCO) has published a report on crypto-asset trading platforms (CTPs) which sets out key considerations to assist regulatory authorities in addressing its risks. Titled Issues, Risks…
Securities Trade Group Backs Volcker Rule Reforms
A securities industry trade group gave a thumbs up to the reforms of a key bank trading regulation. SIFMA is the Securities Industry and Financial Markets Association, an American securities industry trade group, and SIFMA…
FINRA Reports from its Buildathon
US regulators are playing catch up to the rest of the world when it comes to leveraging financial technology. FINRA, the Financial Industry Regulatory Authority, recently held its Buildathon: a sort of Hackathon. From the…
The debate over the centralization of regulatory power…
The House Financial Services Committee Task Force on Financial Technology held a hearing entitled: “Overseeing the Fintech Revolution: Domestic and International Perspectives on Fintech Regulation.” The witnesses were regulators from multiple continents including Valerie Szczepanik…
CFTC and SEC Participate in the Signing Ceremony…
Washington, DC — At the 44th Annual International Organization of Securities Commissions (IOSCO) Conference in Sydney, Australia, the Chairmen of the U.S. Commodity Futures Trading Commission (CFTC) and the U.S. Securities and Exchange Commission (SEC) participated…
FIA Launches Podcast to Feature the Issues, People…
FIA Speaks features CFTC Chairman Giancarlo as the guest for Episode #1; New Episodes Coming Soon Washington, DC – FIA today launched FIA Speaks—a podcast to provide greater insight into the people, major topics and…