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  • SEC: Mark Wolfe Named Associate Director In Office Of Derivatives Policy And Trading Practices

    Date 17/09/2018

    The Securities and Exchange Commission today announced that Mark E. Wolfe has been named Associate Director of the Office of Derivatives Policy and Trading Practices in the agency’s Division of Trading and Markets. 

  • CFTC Orders Introducing Broker And Principal To Pay A $300,000 Civil Monetary Penalty For Supervisory And Recordkeeping Failures

    Date 17/09/2018

    The Commodity Futures Trading Commission (CFTC) issued an Order filing and simultaneously settling charges against Global Access Advisors LLC d/b/a Daniels Trading (GAA), a Chicago-based Introducing Broker (IB), and its principal and registered Associated Person (AP), Glenn A. Swanson, for failure to diligently supervise employees’ handling of customer accounts subject to post-execution allocation.  GAA was also charged with failure to preserve complete records.

  • New Crypto Exchange IronX Awarded Regulatory Licence

    Date 17/09/2018

    IronX, the new Crypto Exchange joint venture between leading global online broker IronFX Group and EmurgoHK, creator of the Cardano Blockchain, today announces it has been awarded full regulatory licence approval by the Estonian Financial Intelligence Unit (FIU). This licence allows IronX to operate as a fully regulated exchange for the trading of cryptocurrencies, as part of their drive to set the industry standard and one of the first in Europe to seek and receive this level of approval.

  • Senasen: An Innovative Solution To A Long-standing Problem

    Date 17/09/2018

    Companies and asset managers are looking for more effective ways to interact directly with their investors under regulatory changes, such as MiFid II. With markets becoming more jittery, investors are also seeking more effective real time channels of engagement.

  • CFTC Charges Precious Metals Dealer And Its Owner With Fraud

    Date 17/09/2018

    The Commodity Futures Trading Commission (CFTC) filed a civil enforcement action in the U.S. District Court for the Southern District of New York against Defendants Royal Metals Group, LLC (RMG), and its member, manager and part owner, Chelsea Gless of Iowa.  The CFTC’s Complaint charges Defendants with defrauding retail clients in connection with precious metals transactions and fraudulently obtaining more than $600,000 from those clients.   

  • Launch Of The Public Register For The UK Money Markets Code

    Date 17/09/2018

    The Register lists institutions which have agreed to publicly displaying their signed Statement of Commitment to the UK Money Markets Code.

  • Turquoise Makes Euronext Growth Securities Available For Trading

    Date 17/09/2018

    • New channel of execution for Euronext Growth instruments
    • Expands Turquoise’s broad universe of c. 4,500 stocks from 19 European countries to trading members
    • Reflects increased investor demand for trading small and mid-cap securities

  • IMF: United Kingdom: Staff Concluding Statement Of The 2018 Article IV Mission

    Date 17/09/2018

    A Concluding Statement describes the preliminary findings of IMF staff at the end of an official staff visit (or ‘mission’), in most cases to a member country. Missions are undertaken as part of regular (usually annual) consultations under Article IV of the IMF's Articles of Agreement, in the context of a request to use IMF resources (borrow from the IMF), as part of discussions of staff monitored programs, or as part of other staff monitoring of economic developments.

  • BME Collaborates With The Colombian Stock Exchange In Its New Fixed Income Trading System - Called MASTER TRADER, It Incorporates BME's Routing And Trading Technology

    Date 17/09/2018

    The Colombian Stock Exchange (BVC) has put into production Phase I of the project called INET + MASTER TRADER, catering to the Colombian stock market. Based on it, the Colombian fixed income market will be supported by both a new trading system and BME Inntech’s IT order trading and routing platform (OMS) for the automation and implementation of trading strategies.

  • Remarks Before The AICPA National Conference On Banks & Saving Institutions, Wesley Bricker, SEC Chief Accountant, Washington D.C., Sept. 17, 2018

    Date 17/09/2018

    Introduction

    Good morning and thank you for the kind introduction. I am honored to have the opportunity to share my thoughts with you. As a group, this audience is instrumental in strengthening the quality of financial reporting of our financial institutions, which is critical to the effective functioning of our economy.

    One cornerstone of our capital markets continues to be companies supplying high-quality financial information that enables investors, lenders, and other providers of capital to make better-informed decisions. Said another way, as CFOs, controllers, analysts, treasurers, auditors, and others, you help drive the information that is ultimately included in many shareholder and creditor communications. These communications, when made with appropriate care and candor, build public trust and help sustain the ability of banks and others businesses to raise the capital they need to grow and compete.