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USA financial regulators

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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
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CFTC Issues Order of Exemption from Registration as a Derivatives Clearing Organization to ASX Clear (Futures) Pty Limited

19/08/2015(0)
First Order of its Kind Issued by the Commission The U.S. Commodity Futures Trading Commission (Commission) issued an order of exemption from registration as a derivatives clearing organization (DCO) ... Read More
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