FINRA has identified more than 150,000 instances of potential layering by direct market access customers of JefEx between January 1, 2014 and February 28, 2015.
The Italian regulator has once again made use of its powers under the “Growth Decree”, taking the number of blocked websites of unauthorized investment firms to 101.
Universally accessible central bank digital currency would give rise to new risks, especially with regard to financial stability, Switzerland’s Federal Council says.
The upfront fixed fee allows CurveGlobal Markets Member Firms and their clients to execute an unlimited number of lots in any CurveGlobal interest rate derivatives products over a one year or three-year period.
The Russian Federal Antimonopoly Service has determined that the FreshForex ads distributed via Yandex are not compliant with the law.
ASX has invested US$10 million in DA’s latest funding round, bringing its total equity investment in DA to US$30.9 million.
The Government argues that the appropriate calculation for both loss and restitution is $137 million, whereas Elbaz argues the amount should be more than 10 times smaller.
The Exchange will be allowed to take action if credit limits or other pre-trade risk controls are exceeded.
ASIC requests Court orders to wind up an alleged unregistered managed investment scheme, and a related company called AMS, operated by Chris Marco.
According to the report, the setup to supervise the STOR Framework in Cyprus is incomplete (no written procedures, limited engagement, no on-site visits, no assessment of gaps/trends).
Failure to file a default judgment motion by January 10, 2020, may result in sanctions, including dismissal for failure to prosecute, Judge Dale S. Fischer warns.
The license revocation is due to numerous breaches of MAS’ rules, licence conditions, and failure to comply with MAS’ written direction.
These estimates are based upon an assumed initial public offering price of US$9.50 per ADS.
Greentech will be rebranded “Nomura Greentech” and will form part of Nomura’s Americas Investment Banking franchise.
The SEC is granted leave to move to reopen the case either to seek the Court’s approval of a final judgment with Haddow or to move for monetary relief.