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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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