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regulators

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SEC Charges Former Investment Bank Analyst and Two Others With Insider Trading in Advance of Client Deals

26/08/2015(0)
The Securities and Exchange Commission today charged a former investment bank analyst with illegally tipping his close friend with confidential information about clients involved in impending mergers and acquisitions ... Read More
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FINRA Fines Charles Schwab & Co., Inc. $2 Million for Net Capital Deficiencies

25/08/2015(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has censured and fined Charles Schwab & Co., Inc. $2 million for net capital deficiencies and for related supervisory ... Read More
FCA_regulator

FCA warning against clone firm: Castlerigg UCITS Fund PLC

25/08/2015(0)
The Financial Conduct Authority (FCA) of the United Kingdom has issued a warning to alert all recipients that: Fraudsters are using or giving out the following details as part of their ... Read More
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Bundesbank: growth in the German economy could continue

24/08/2015(0)
Following robust growth in the first two quarters of 2015, the Bundesbank‘s economists expect the German economy to continue its positive development.“The conditions are currently in place for fairly ... Read More
FCA_regulator

FCA warns public for unauthorised firm

18/08/2015(0)
FCA, the financial regulator of UK, has issued a press release to inform that the below firm has been providing financial services or products in the UK without its authorisation. ... Read More
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ESMA recommends changes to EMIR framework

14/08/2015(0)
The European Securities and Markets Authority (ESMA) has published four reports focused on how the European Markets Infrastructure Regulation (EMIR) framework has been functioning and providing input and recommendations ... Read More
finra1

FINRA Fines StockCross Financial Services, Inc. $800,000 for Regulation SHO Violations

14/08/2015(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined StockCross Financial Services, Inc. $800,000 for Regulation SHO violations and for related supervisory violations that spanned more ... Read More
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Edward Jones to Pay $20 Million for Overcharging Retail Customers in Municipal Bond Underwritings

14/08/2015(0)
The Securities and Exchange Commission today announced that St. Louis-based brokerage firm Edward Jones and the former head of its municipal underwriting desk have agreed to settle charges that ... Read More
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SEC release no. 2015-163- Exante’s Official Response

13/08/2015(0)
EXANTE would like to address the above press release by the US Securities and Exchange Commission (SEC) and the sensational and inaccurate headlines that followed in the local media. ... Read More
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SEC Charges ITG With Operating Secret Trading Desk and Misusing Dark Pool Subscriber Trading Information

13/08/2015(0)
The Securities and Exchange Commission today announced that ITG Inc. and its affiliate AlterNet Securities have agreed to pay $20.3 million to settle charges that they operated a secret ... Read More
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