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regulatory

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FINRA Bars Former Morgan Stanley Registered Representative

02/06/2017(0)
The Financial Industry Regulatory Authority (FINRA) announced today that it has barred former Morgan Stanley Smith Barney registered representative John Batista Bocchino for concealing approximately $190 million in Venezuelan ... Read More
Dentons logo

Dentons expands presence in South East Asia with new office in Myanmar

31/05/2017(0)
Dentons, the world’s largest law firm, has expanded its presence within Southeast Asia with the addition of a new office in Yangon, Myanmar. A high calibre team of 5 ... Read More
Monetary-Authority-of-Singapore

Financial Penalties Imposed on Credit Suisse and UOB for 1MDB-Related Transactions

30/05/2017(0)
The Monetary Authority of Singapore (MAS) announced today that it has completed its two-year review of banks involved in 1MDB-related transactions known to-date.  In its latest regulatory actions, MAS ... Read More
sec

SEC Charges Fake Filer With Manipulating Fitbit Stock

22/05/2017(0)
The Securities and Exchange Commission today filed fraud charges against a Virginia-based mechanical engineer accused of scheming to manipulate the price of Fitbit stock by making a phony regulatory ... Read More
gain-capital

GAIN Capital announces expanded $35 Million stock repurchase program

18/05/2017(0)
GAIN Capital Holdings, Inc. (“the Company”) (NYSE: GCAP), a leading global provider of online trading services, today announced that its Board of Directors has authorized an expanded stock repurchase ... Read More
acca-global_accounting

ACCA launches major new report into Cognitive Bias

11/05/2017(0)
As policymakers and regulators call for more professional scepticism in audit, ACCA (the Association of Certified Chartered Accountants) has recommended changes to the standard-setting, regulatory and audit processes to ... Read More
nfa log

NFA barred commodity trading advisor Samico Worldwide Markets

08/03/2017(0)
National Futures Association (NFA) has permanently barred Redding, Calif. commodity trading advisor Samico Worldwide Markets, Inc. (Samico) and its principal and sole associated person, Thomas Gasparini, from membership and ... Read More
Mergers and Acquistions

Dow Jones acquires RiskAverter

28/02/2017(1)
Dow Jones Risk and Compliance, a leading provider of anti-money laundering, anti-corruption and sanctions compliance data solutions, has completed the acquisition of RiskAverter from U.S.-based Compliance Strategies International, LLC. ... Read More
Fieldfisher

Multinational law firm launches alternative legal services platform

01/02/2017(0)
Fieldfisher launches multi-product ALS platform with initial focus on the derivatives and securities financing markets. The European law firm Fieldfisher launches Condor Alternative Legal Solutions (Condor) – a multi-product ... Read More
CMC-Markets

CMC Markets published Q3 Interim management statement

26/01/2017(0)
CMC Markets plc, (LSE: CMCX, “CMC” or the “Group”), a leading global provider of online retail trading, today issues its interim management statement for the period from 1 October ... Read More
Broker Cyprus TopFX