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retail investors

financial-services-malta-mfsa

MFSA Mallta warns for CFDs, Forex, Binary Options and other speculative products

06/03/2017(0)
Notice addressed to the general public, namely to retail investors, regarding the sale of speculative products and their associated ... Read More
ESMA logo

ESMA calls for consistent application of MIFIR product intervention powers

13/01/2017(0)
The European Securities and Markets Authority (ESMA) has issued today an Opinion regarding the scope of the product intervention powers under the Markets in Financial Instruments Regulation (MiFIR). These ... Read More
IOSCO logo -large

Robo-advisors require ongoin monitoring

22/12/2016(0)
On-line technology tools are having an important impact on the investment advice value chain, including services such as asset allocation, portfolio selection and trade execution, according to a report ... Read More
IOSCO logo -large

IOSCO identifies risks to retail investors of OTC leveraged products

21/12/2016(0)
The International Organization of Securities Commissions (IOSCO) issued today a report that identifies various risks related to the marketing and sale of complex OTC leveraged products to retail investors, ... Read More
gain-capital

GAIN Capital reports OTC average daily volume of $11.7 billion for November 2016

13/12/2016(0)
GAIN Capital Holdings, Inc. (NYSE: GCAP) has issued a report to publish its Monthly certain operating metrics for the month of November 2016. According the announcement, Gain Capital reports: ... Read More
sec-logo

Company to pay a $50,000 penalty for illegally offering complex derivatives products to retail investors

14/10/2016(0)
The Securities and Exchange Commission announced that a New York-based company has agreed to pay a $50,000 penalty for illegally offering complex derivatives products to retail investors through mobile phone ... Read More
Broadridge post jan05

Broadridge Acquires Technology to Accelerate Proxy Blockchain Roadmap

21/09/2016(0)
Broadridge Financial Solutions, Inc. (NYSE:BR) announced that it has acquired technology assets of Inveshare, Inc. (“Inveshare”). In connection with the transaction, Broadridge has entered into a development agreement to ... Read More
ASIC_regulator

ASIC warns IPOs issuers when using Social Media Strategies on their marketing campaigns

19/09/2016(0)
ASIC has warned firms and issuers involved in initial public offerings (IPOs) in Australia to ensure their marketing campaigns comply with the letter and spirit of the law, particularly ... Read More
Monex Group

The Impact of “Brexit” on Retail Investors; Monex survey

16/06/2016(0)
Twenty-first Monex Global Retail Investor Survey Survey Focusing on the Impact of “Brexit” on Retail Investors Monex, Inc. has published “The Twenty-first Monex Global Retail Survey(*)” that was conducted ... Read More
ice-Intercontinental-Exchange

NYSE Amex Options launches Binary Return Derivatives (BYRDS), an innovative new optins product

20/04/2016(0)
The New York Stock Exchange (NYSE), part of the Intercontinental Exchange (NYSE:ICE), today announced the NYSE Amex Options platform of the NYSE MKT exchange will commence trading of Binary ... Read More
Broker Cyprus TopFX