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
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
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 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
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 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 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
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
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
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