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Institutional FX

ESMA Is Consulting on Investment Suitability Requirements

ESMA is reviewing how firms comply with investment suitability requirements.
The assessment aims to ensure investments do not expose clients to risks.

Tuesday, 01/02/2022 | 07:21 GMT by Nicholas Otieno

Institutional FX

Brazil Central Bank Waters Down Tougher Rules on Fintech Firms

Brazil central bank considers rejecting tougher regulations on fintech companies.
Fintechs firms promote competition and financial inclusion.

Thursday, 23/12/2021 | 08:12 GMT by Nicholas Otieno

Regulation

State One Stockbroking fined $500,000 for Compliance Failures

The firm was ordered to pay penalties totalling $350,000 for not complying with ASIC’s Market Integrity Rules.

Wednesday, 21/11/2018 | 09:00 GMT by Celeste Skinner

Regulation

ASIC Further Clarifies its Reporting Rules for OTC Derivatives Issuers

ASIC sent a questionnaire to licensees requesting additional information .

Thursday, 18/01/2018 | 12:24 GMT by Sophie Gerber

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