intermediaries

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AFM fines financial consultancy firm for €2,000 per business day

01/12/2016(0)
On 9 November 2016, the Netherlands Authority for the Financial Markets (AFM) imposed an order for incremental penalty payments of €2,000 per business day on Alfred Sturz, trading under ... Read More
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IOSCO reports on business continuity plans for trading venues and intermediaries

22/12/2015(0)
The Board of the International Organization of Securities Commissions (IOSCO) today published two reports that seek to enhance the ability of financial markets and intermediaries to manage risks, withstand ... Read More
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