Search Results for: regulators
Citadel Says One of Its China Accounts Was Suspended
August 3rd, 2015
A Guosen Futures account suspended amid Chinese regulators’ probe following recent stock market plunge U.S.-based hedge fund firm Citadel LLC said trading in one of the accounts it manages in China has been suspended, as regulators battle a steep ...
BATS Files Client Suspension Rule with SEC
July 31st, 2015
BATS Global Markets (BATS) filed with the Securities and Exchange Commission the BATS Client Suspension Rule, which would enable the company to take swifter action to prohibit manipulative behavior, such as spoofing and layering, on the BATS Exchanges. Manipulative ...
FINMA Switzerland warns for unauthorised firms
July 29th, 2015
FINMA, the Swiss Supervisory authority, has issued a warning to inform investors for companies suspected of conducting unauthorised activities in the financial market. FINMA added on July 29 the below companies in its Negative list: 1) UK Options Address: ...
FCA UK has issued warnings for unauthorized investment firms
July 29th, 2015
FCA, the financial regulator of UK, has issued notices to warn public for investment companies that believes that have been providing financial services in UK without its authorization. The firms not authorized by FCA but have been targeting people ...
Asia stocks up as China steadies, wary of Fed
July 29th, 2015
Asian shares were mostly higher on Wednesday on hopes that Beijing could stem the rout in its markets without damage to the economy, though caution was the watchword ahead of a policy decision from the U.S. Federal Reserve. The ...
Deutsche Boerse Buys 360T to Expand in Currency Trading
July 27th, 2015
Deutsche Boerse AG will buy foreign-exchange trading platform 360T for 725 million euros ($796 million) to move into the $5.3 trillion-a-day currency trading market. The agreement was signed by 360T shareholders including U.S. private equity firm Summit Partners, Deutsche ...
Institutes retain regulatory powers over auditors
July 23rd, 2015
Acounting institutes will retain their role as regulators of the accounting profession and the structure of audit regulation will be maintained and will not be subject to statutory legislation when the government implements the EU Audit Directive and Regulation. In a ...
A profound change for China’s SOEs
July 22nd, 2015
The rapid rise of China’s outbound direct investment in the past decade is a significant economic phenomenon, one met with a lot of resistance in some destination countries, particularly due to the abundance of state-owned enterprises. But despite concerns over ...
JPMorgan $12.5 Billion Short in Fed Systemic-Risk Charges
July 21st, 2015
JPMorgan Chase & Co. still has a shortfall of as much as $12.5 billion in meeting capital rules approved by the Federal Reserve on Monday. The Fed assigned capital charges totaling more than $200 billion for eight of the ...
U.S. Labor Department fiduciary rule to cost brokers $5.8bln -SIFMA
July 21st, 2015
A proposal by the Department of Labor to rein in conflicts by brokers who offer retirement advice may cost U.S. securities firms more than $5.8 billion, making it harder for Americans to build nest eggs, the Securities Industry and ...
