This ruling continues the work of ASIC’s focus on the retail OTC derivative sector, including margin FX and binary options trading.
Read moreFINRA rules require firms to transmit all applicable order information to OATS in a complete and accurate manner.
Read moreAntonio Simoes succeeds Alison Brittain, former Group Director of Retail at Lloyds Banking Group, who announced in May that she is leaving the financial services sector, and therefore the Panel, to join Whitbread plc as Group CEO
Read more"The public expects fair and orderly markets and level playing fields; they expect those operating in the markets and employed by regulated firms to act with integrity and in the consumers’ best interests. This means, it is the obligation and burden of those firms and employees to maintain market confidence" - Simon Appleton, Director of Regulatory Consulting, Kinetic Partners
Read moreThe MFSA has just updated its policy on online forex trading service providers, licensed as Category 2 or Category 3 Investment Service Licence holders. Key changes are its threshold in relation to the requirement of a direct qualifying shareholding by a licensed entity and enhanced consumer protection warnings.
Read more“Education is crucial if we are to rebuild the reputation of the financial industry, which has been tarnished by the actions of a small minority acting in an unethical manner" - Marshall Bailey, President and Global Head, ACI Financial Markets Association
Read moreFollowing onsite inspections by CySec of Safecap's operations in May 2013 and October 2014, the Cypriot regulator has imposed a €168,000 fiscal penalty relating to administrative issues
Read moreAustralia’s financial regulator told Interactive Brokers Group Inc. to stop offering OTC currency trading services, ASIC withdrew it's "no-action position" regarding the U.S based firm having the proper license to operate down under...
Read moreThe US National Futures Association has accepted a $50,000 settlement from The Barbashop LLC and its principal, Ronald T. Barba, along with certain registration conditions, following a complaint made in June relating to the firm's order allocation procedures, and use of promotional material which contained misleading information
Read moreThe roundtable will discuss approaches to mandatory exchange trading in various jurisdictions; academic perspectives on, and data-based assessment of "Made available to trade"
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