The parties have agreed on proposed settlement terms subject to the completion by Montroll of sworn financial statements and approval of the settlement by the Commission.
The service encourages first-time and novice investors to build wealth by investing in familiar themes through the LINE app.
The Exchange proposes to add order types that build on the existing Liquidity Adding Order and Post No Preference Order functionality to allow for repricing.
The new Mark Price IV calibration method provides a better and more comprehensive volatility surface.
Under the agreement, Monex Inc will be offering the bank’s customers financial products and services, including domestic equities.
The Exchange has entered into agreements with certain minority shareholders of LCH to acquire up to a further 15.1% of LCH’s share capital.
Clients of Guotai Junan can now use the FPS to deposit funds to the settlement bank account of the brokerage.
Foley & Lardner LLP, counsel for AFX Capital Markets Ltd., AFX Capital U.S. Corp. and STO Super Trading Online, has received no response to numerous requests over the last two months.
The firms checked have overall improved their practices of testing the knowledge of their clients about financial products.
Defense counsel says the testimony of the Government’s star witness Matthew Gardiner is highly prejudicial.
A new webpage on SFC’s website aims to encourage the public to submit information about “persons of interest” and people subject to arrest warrants.
About 300 people, mainly employees from Blue Lab and Fujitsu, will use Personetics Engage from a customer’s point of view.
The regulatory decision follows the temporary suspension of the firm’s AFS license in April this year.
A sentencing date has not yet been set.
The effective date of the transaction is October 15, 2018.