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Securities
Europe's Economic Crossroads: Recession Fears and S&P Global's
Education Center
Will Blockchain Technology Mark a Turning Point in Fraud
Education Center
7 Things We Wish Someone Had Told Us Before We Started Trading
Education Center
Investing in US Securities? Something is Stalking You …
Thought Leadership
Europe's Economic Crossroads: Recession Fears and S&P Global's
Education Center
Will Blockchain Technology Mark a Turning Point in Fraud
Education Center
7 Things We Wish Someone Had Told Us Before We Started Trading
Education Center
Investing in US Securities? Something is Stalking You …
Thought Leadership
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securities
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CryptoCurrency
Copper Sets Sights on Securities to Woo Institutional Investors
Copper, led by ex-Chancellor Hammond, expands into securities to attract institutional investors.
The firm integrates blockchain for trading efficiency, following its crypto custody success.
Wednesday, 29/11/2023 | 08:41 GMT
by
Damian Chmiel
Institutional FX
UBS to Shell Out $1.4B over Fraud Claims Related to 2008 Financial Crisis
The Swiss bank giant did not admit to any wrongdoing.
The DOJ previously settled with other top banks, such as Nomura, RBS and Barclays.
Monday, 14/08/2023 | 20:59 GMT
by
Solomon Oladipupo
Institutional FX
European Regulator Slammed 225 Securities Issuers in 2022
Issuers' biggest failing relates to accounting for financial instruments, ESMA says.
The regulator examined 640 IFRS-compliant financial statements in 2022.
Wednesday, 29/03/2023 | 14:04 GMT
by
Solomon Oladipupo
Institutional FX
Spectrum Markets Marks Record 2022 as Turnover Surges 147% to €3.33bn
Spectrum Markets saw nearly 3.5 million trades in 2022.
The record trading volume was boosted by the platform's new partnerships.
Tuesday, 21/02/2023 | 13:56 GMT
by
Solomon Oladipupo
Executives
ESMA Appoints Czech's Vojtěch Belling to Replace Erik Thedéen as VC
Erik Thedéen was appointed as the Vice Chair in December 2021.
Vojtěch Belling has been a member of ESMA's Board of Supervisors since December 2020.
Tuesday, 15/11/2022 | 20:29 GMT
by
Solomon Oladipupo
Executive Moves
HKEX Taps SGX’s Exec to Grow Business in South Asia & Middle East
Narendra Hegde was previously the Director of International Sales for Asia at SGX Group.
Hegde's appointment is one of several HKEX has made in 2022.
Friday, 11/11/2022 | 14:46 GMT
by
Solomon Oladipupo
Institutional FX
FINRA Fines RBC Capital Markets $360k for Supervisory Failure
The failure occurred between June 2018 and February 2020.
FINRA recently fined RBC Capital Markets $90k over anticipatory hedging violations.
Tuesday, 01/11/2022 | 16:55 GMT
by
Solomon Oladipupo
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Retail FX
Swissquote Gains Access to Securities Listed on Dubai Financial Market
The access was made possible by GTNME and BHM Capital's DMA Route.
Swissquote launched a crypto exchange, SQX, at the start of the month.
Tuesday, 25/10/2022 | 19:50 GMT
by
Solomon Oladipupo
Institutional FX
IOSCO Appoints Belgium FMSA’s Jean-Paul Servais as Chair
Servais replaces Ashley Alder, the CEO of Hong Kong SFC, as Chair.
15 securities regulators signed IOSCO's MMoU or EMMoU during the Annual Meeting.
Friday, 21/10/2022 | 15:37 GMT
by
Solomon Oladipupo
Institutional FX
FINRA Penalizes UBS Securities $2.5M for 73,000 ‘Naked’ Short Sales
The violations occurred between 2009 and 2018.
The US SEC recently fined UBS Securities $125 million alongside 14 other broker-dealers.
Wednesday, 05/10/2022 | 10:58 GMT
by
Solomon Oladipupo
Retail FX
US SEC Records First Case of Broker-Dealer Municipal Advisor Violation
The regulator fined Loop Capital Markets $100k.
The broker-dealer advised a city on fixed income securities without being registered.
Wednesday, 14/09/2022 | 22:50 GMT
by
Solomon Oladipupo
CryptoCurrency
Large Securities Companies in South Korea Plan to Launch a Crypto Exchange in H1 2023
Samsung Securities and Shinhan Financial Investment are among the securities firms.
The FIU flagged 16 crypto exchanges that are operating without a required license.
Wednesday, 24/08/2022 | 10:17 GMT
by
Matti Williamson
Institutional FX
BMO Obtains Securities License in Japan
The company aims to expand its presence in the region.
In 1962, BMO opened its first representative office in Japan.
Friday, 05/08/2022 | 06:08 GMT
by
Bilal Jafar
Institutional FX
Two Whistleblowers Get over $6 Million from US Watchdog
Each whistleblower was awarded more than $3 million.
The US SEC has awarded approximately $1.3 billion to 276 individuals since 2012.
Friday, 15/07/2022 | 19:13 GMT
by
Solomon Oladipupo
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Institutional FX
SGX Sees Jumps in Derivative Markets as STI Shrinks -1.5%
Derivatives DAV leaped 25% YoY
The STI tumbled -1.9% on Thursday.
Thursday, 12/05/2022 | 21:10 GMT
by
Solomon Oladipupo
Institutional FX
Clearstream Sees Upticks in Global Securities Financing, CSD Services in April
AUC rose 5% MoM to €16,731 billion.
The total transactions at ICSD fell -6% to 5.7 million.
Wednesday, 11/05/2022 | 18:09 GMT
by
Solomon Oladipupo
News
Bitfinex Securities Expands Global Presence, Launches New Product in Kazakhstan
BMN Token goes live for trading on the platform.
Bitfinex Securities is a regulated investment exchange in the AIFC Fintech Lab.
Saturday, 05/03/2022 | 09:05 GMT
by
Bilal Jafar
Executives
CISI Appoints David Madgwick as New Essex Branch President
David Madgwick comes with over 20 years of work experience.
His presence would enable CISI to deliver its mandate.
Tuesday, 22/02/2022 | 06:45 GMT
by
Nicholas Otieno
FinTech
StoneX Becomes a Member of the Platinum Group Metals Auction
StoneX Group has become a participant of Platinum Group Metals auction.
The firm can now participate in all the major precious metals auctions in London.
Friday, 11/02/2022 | 08:38 GMT
by
Nicholas Otieno
FinTech
SEC Approves BSTX to Operate as Blockchain-Based Securities Exchange
The US SEC has approved BSTX’s exchange proposal.
BSTX will create a national securities exchange using blockchain.
Sunday, 30/01/2022 | 10:13 GMT
by
Nicholas Otieno
Institutional FX
Moscow Exchange to Start Trading on Foreign Securities in US Dollars
The brand-new offering is set to be live on the MOEX starting September 27, 2021.
Thursday, 09/09/2021 | 18:03 GMT
by
Felipe Erazo
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Brokers
ICM.com Expands Product Offering with ICM Securities
The new platform will enable clients to invest in a range of companies in the US and the Arab region.
Tuesday, 16/02/2021 | 11:59 GMT
by
Bilal Jafar
Regulation
Malaysian Regulator Issues Warning against Rising Clone Firm Scams
The fraudulent companies are impersonating legitimate public listed companies (PLCs) to dupe investors.
Thursday, 05/11/2020 | 08:24 GMT
by
Bilal Jafar
News
Security Token Issuance Firm Ignium Partners With Estonian Fundraising Platform
Ignium and Fundwise have partnered to provide a security token-based fundraising solution.
Friday, 30/10/2020 | 11:00 GMT
by
Rachel McIntosh
Regulation
ASIC Bans Former BGC Securities Broker from Providing Financial Services
Former broker David Moore has been banned from providing financial services for 10 years.
Wednesday, 30/09/2020 | 07:11 GMT
by
Celeste Skinner
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