Search Results for: U.S. regulator
SEC Charges Hedge Fund Adviser
September 7th, 2015
The Securities and Exchange Commission (SEC) has issued a press release to inform that the Commission charges Seattle-Area Hedge Fund Adviser With Taking Unearned Management Fees. Two Accountants Charged With Performing Deficient Audit of Fund According to SEC announcement, ...
Interactive Brokers Group Reports Brokerage Metrics for August 2015
September 3rd, 2015
Interactive Brokers Group, Inc. (NASDAQ GS: IBKR) an automated global electronic broker and market maker, today reported its Electronic Brokerage monthly performance metrics for August. Highlights for the month included: 737 thousand Daily Average Revenue Trades (DARTs), 49% higher ...
India Says New Tax Won’t Apply to Foreign Institutional Investors
September 3rd, 2015
Move on minimum alternate tax is aimed at calming investors’ concerns India said Tuesday that it wouldn’t go through with plans to apply a controversial tax to international portfolio investors, hoping to calm concerns about the country amid global ...
KPMG Forms Exclusive Alliance with Fintech Platform Matchi
August 31st, 2015
KPMG has issued a press release to inform that it has become the exclusive advisory alliance partner with Matchi.biz, the innovative fintech matchmaking platform that connects banks and insurance companies with financial services technology start-ups and innovations sourced from ...
CFTC Approves National Futures Association Rules Enhancing Protections for Retail Forex Customers
August 28th, 2015
The U.S. Commodity Futures Trading Commission (Commission) today approved rule amendments and a new interpretive notice filed by the National Futures Association (NFA). NFA is a registered futures association under section 17 of the Commodity Exchange Act (Act), and ...
CFTC Issues Orders of Foreign Board of Trade Registration to Permit Direct Access for ICE Futures Canada, Inc. and Montréal Exchange Inc.
August 27th, 2015
The U.S. Commodity Futures Trading Commission (Commission) announced today that it has issued Orders of Registration to ICE Futures Canada, Inc. (ICEFC), a Foreign Board of Trade located in Winnipeg, Manitoba, Canada, and Montréal Exchange Inc. (MX), a Foreign ...
Nasdaq poised to launch FX trading platform: top executive
August 26th, 2015
Nasdaq (NDAQ.O) is poised to launch a platform for foreign exchange trading which it says would make the $5 trillion-a-day global market more transparent and would diversify its own business, a top executive from the stock market operator said. ...
OTC Markets Group Expands Relationship with QUODD Financial Information Services
August 25th, 2015
QUODD now offers OTC Markets Group’s Level 1+ and Level 2+ market data via data feed to its customers OTC Markets Group Inc. (OTCQX: OTCM), operator of Open, Transparent and Connected financial markets, today announced the expansion of its relationship ...
Fatca law: Taking the IRS to Court
August 21st, 2015
The 2010 Fatca law has made many Americans unbankable overseas. Nancy Pelosi famously said Congress had to pass ObamaCare so Americans could learn what was in it, but that rule applies to other regulatory monsters too. Take Fatca, the ...
CFTC Issues Order of Exemption from Registration as a Derivatives Clearing Organization to ASX Clear (Futures) Pty Limited
August 19th, 2015
First Order of its Kind Issued by the Commission The U.S. Commodity Futures Trading Commission (Commission) issued an order of exemption from registration as a derivatives clearing organization (DCO) to ASX Clear (Futures) Pty Limited (ASX). The order is ...
