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CryptoCurrency

Copper Sets Sights on Securities to Woo Institutional Investors

  • Copper, led by ex-Chancellor Hammond, expands into securities to attract institutional investors.
  • The firm integrates blockchain for trading efficiency, following its crypto custody success.
Wednesday, 29/11/2023 | 08:41 GMT by Damian Chmiel
Institutional FX

UBS to Shell Out $1.4B over Fraud Claims Related to 2008 Financial Crisis

  • The Swiss bank giant did not admit to any wrongdoing.
  • The DOJ previously settled with other top banks, such as Nomura, RBS and Barclays.
Monday, 14/08/2023 | 20:59 GMT by Solomon Oladipupo
Institutional FX

European Regulator Slammed 225 Securities Issuers in 2022

  • Issuers' biggest failing relates to accounting for financial instruments, ESMA says.
  • The regulator examined 640 IFRS-compliant financial statements in 2022.
Wednesday, 29/03/2023 | 14:04 GMT by Solomon Oladipupo
Institutional FX

Spectrum Markets Marks Record 2022 as Turnover Surges 147% to €3.33bn

  • Spectrum Markets saw nearly 3.5 million trades in 2022.
  • The record trading volume was boosted by the platform's new partnerships.
Tuesday, 21/02/2023 | 13:56 GMT by Solomon Oladipupo
Executives

ESMA Appoints Czech's Vojtěch Belling to Replace Erik Thedéen as VC

  • Erik Thedéen was appointed as the Vice Chair in December 2021.
  • Vojtěch Belling has been a member of ESMA's Board of Supervisors since December 2020.
Tuesday, 15/11/2022 | 20:29 GMT by Solomon Oladipupo
Executive Moves

HKEX Taps SGX’s Exec to Grow Business in South Asia & Middle East

  • Narendra Hegde was previously the Director of International Sales for Asia at SGX Group.
  • Hegde's appointment is one of several HKEX has made in 2022.
Friday, 11/11/2022 | 14:46 GMT by Solomon Oladipupo
Institutional FX

FINRA Fines RBC Capital Markets $360k for Supervisory Failure

  • The failure occurred between June 2018 and February 2020.
  • FINRA recently fined RBC Capital Markets $90k over anticipatory hedging violations.
Tuesday, 01/11/2022 | 16:55 GMT by Solomon Oladipupo
Retail FX

Swissquote Gains Access to Securities Listed on Dubai Financial Market

  • The access was made possible by GTNME and BHM Capital's DMA Route.
  • Swissquote launched a crypto exchange, SQX, at the start of the month.
Tuesday, 25/10/2022 | 19:50 GMT by Solomon Oladipupo
Institutional FX

IOSCO Appoints Belgium FMSA’s Jean-Paul Servais as Chair

  • Servais replaces Ashley Alder, the CEO of Hong Kong SFC, as Chair.
  • 15 securities regulators signed IOSCO's MMoU or EMMoU during the Annual Meeting.
Friday, 21/10/2022 | 15:37 GMT by Solomon Oladipupo
Institutional FX

FINRA Penalizes UBS Securities $2.5M for 73,000 ‘Naked’ Short Sales

  • The violations occurred between 2009 and 2018.
  • The US SEC recently fined UBS Securities $125 million alongside 14 other broker-dealers.
Wednesday, 05/10/2022 | 10:58 GMT by Solomon Oladipupo
Retail FX

US SEC Records First Case of Broker-Dealer Municipal Advisor Violation

  • The regulator fined Loop Capital Markets $100k.
  • The broker-dealer advised a city on fixed income securities without being registered.
Wednesday, 14/09/2022 | 22:50 GMT by Solomon Oladipupo
CryptoCurrency

Large Securities Companies in South Korea Plan to Launch a Crypto Exchange in H1 2023

  • Samsung Securities and Shinhan Financial Investment are among the securities firms.
  • The FIU flagged 16 crypto exchanges that are operating without a required license.
Wednesday, 24/08/2022 | 10:17 GMT by Matti Williamson
Institutional FX

BMO Obtains Securities License in Japan

  • The company aims to expand its presence in the region.
  • In 1962, BMO opened its first representative office in Japan.
Friday, 05/08/2022 | 06:08 GMT by Bilal Jafar
Institutional FX

Two Whistleblowers Get over $6 Million from US Watchdog

  • Each whistleblower was awarded more than $3 million.
  • The US SEC has awarded approximately $1.3 billion to 276 individuals since 2012.
Friday, 15/07/2022 | 19:13 GMT by Solomon Oladipupo
Institutional FX

SGX Sees Jumps in Derivative Markets as STI Shrinks -1.5%

  • Derivatives DAV leaped 25% YoY
  • The STI tumbled -1.9% on Thursday.
Thursday, 12/05/2022 | 21:10 GMT by Solomon Oladipupo
Institutional FX

Clearstream Sees Upticks in Global Securities Financing, CSD Services in April

  • AUC rose 5% MoM to €16,731 billion.
  • The total transactions at ICSD fell -6% to 5.7 million.
Wednesday, 11/05/2022 | 18:09 GMT by Solomon Oladipupo
News

Bitfinex Securities Expands Global Presence, Launches New Product in Kazakhstan

  • BMN Token goes live for trading on the platform.
  • Bitfinex Securities is a regulated investment exchange in the AIFC Fintech Lab.
Saturday, 05/03/2022 | 09:05 GMT by Bilal Jafar
Executives

CISI Appoints David Madgwick as New Essex Branch President

  • David Madgwick comes with over 20 years of work experience.
  • His presence would enable CISI to deliver its mandate.
Tuesday, 22/02/2022 | 06:45 GMT by Nicholas Otieno
FinTech

StoneX Becomes a Member of the Platinum Group Metals Auction

  • StoneX Group has become a participant of Platinum Group Metals auction.
  • The firm can now participate in all the major precious metals auctions in London.
Friday, 11/02/2022 | 08:38 GMT by Nicholas Otieno
FinTech

SEC Approves BSTX to Operate as Blockchain-Based Securities Exchange

  • The US SEC has approved BSTX’s exchange proposal.
  • BSTX will create a national securities exchange using blockchain.
Sunday, 30/01/2022 | 10:13 GMT by Nicholas Otieno
Institutional FX

Moscow Exchange to Start Trading on Foreign Securities in US Dollars

  • The brand-new offering is set to be live on the MOEX starting September 27, 2021.
Thursday, 09/09/2021 | 18:03 GMT by Felipe Erazo
Brokers

ICM.com Expands Product Offering with ICM Securities

  • The new platform will enable clients to invest in a range of companies in the US and the Arab region.
Tuesday, 16/02/2021 | 11:59 GMT by Bilal Jafar
Regulation

Malaysian Regulator Issues Warning against Rising Clone Firm Scams

  • The fraudulent companies are impersonating legitimate public listed companies (PLCs) to dupe investors.
Thursday, 05/11/2020 | 08:24 GMT by Bilal Jafar
News

Security Token Issuance Firm Ignium Partners With Estonian Fundraising Platform

  • Ignium and Fundwise have partnered to provide a security token-based fundraising solution.
Friday, 30/10/2020 | 11:00 GMT by Rachel McIntosh
Regulation

ASIC Bans Former BGC Securities Broker from Providing Financial Services

  • Former broker David Moore has been banned from providing financial services for 10 years.
Wednesday, 30/09/2020 | 07:11 GMT by Celeste Skinner
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