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…
Societe Generale Securities Australia Pty Ltd Pleads Guilty…
On 30 June 2020, Societe Generale Securities Australia Pty Ltd (SGSAPL) pleaded guilty at the Downing Centre Local Court in Sydney to client money offences. SGSAPL is the second company in 2020 in Australia to…
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…
Bank of Russia recommends how to properly register…
The Bank of Russia has updated its recommendations for issuers to avoid typical errors in securities issue registration. The amended recommendations will help issuers comply with the new law on simplifying the securities issue procedure and the revised securities issue standards. The document prepared by the regulator provides answers to frequently asked questions, specifically about…
Canadian Securities Regulators Make It Easier for Portfolio…
Toronto – The Canadian Securities Administrators (CSA) today announced steps to facilitate portfolio managers’ use of client relationship management specialists. These actions aim to better align the CSA’s assessment of relevant investment management experience with…
JP Morgan Securities Services Integrates Bloomberg’s OMS
J.P. Morgan’s Securities Services and Bloomberg have partnered to bring together Bloomberg AIM, a leading Investment and Order Management System - OMS, with J.P. Morgan’s back-office technology and operational expertise, to provide a real-time settlement…
SEC Explains Differences Between Brokers and Investment Advisors
The Securities and Exchange Commission (SEC) put together a video series to help investors understand the differences between investment advisors and brokers. The series was hosted by SEC Chair Jay Clayton and it can be…
The Swiss stock exchange understands the value of…
With MiFID II driving liquidity shifts, the Swiss stock exchange has proven its capability to provide a solution for both the buy-side and sell-side looking for non-displayed liquidity. This solution is called SwissAtMid – and…
Recidivist Neil Andrew McDonald Sentenced to Two Years…
The Alberta Securities Commission (ASC) and the Alberta RCMP announced today that Neil Andrew McDonald (a.k.a. Neil Andrews) of Calgary was convicted and sentenced to two years in jail and 18 months of probation in…