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Exchanges
SGX Sees Fall in Monthly FX, Derivatives Turnover as Momentum Halts
2016-05-09T13:35:40.000+02:00
Whether it was FX or securities turnover, SGX saw sizable declines across the majority of its business volumes.
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Regulation
SEC Charges Brokers For Pocketing $6 Million In Investor Money
2016-05-04T20:00:55.000+02:00
The brokers raised the money from investors by creating a false sense of urgency and exclusivity around their offering.
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News
The Jobs Act Future of US Capital Markets, Dancing Reg A, and Millennials
2016-04-08T00:22:09.000+02:00
Leading minds in capital-raising talk about the coming changes in America.
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Exchanges
SGX’s Turnover Rebounds in March, FX Futures Fall Lower
2016-04-06T12:57:25.000+02:00
Many core elements of SGX's business got back on track in March, led by securities turnover.
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Exchanges
Redline to Stream Price Data from OTC Markets' Three ATS Venues
2016-03-30T17:39:42.000+02:00
Redline's clients will be able to access data from three market venues.
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Regulation
Hong Kong's SFC Fines Unicorn Securities and its Ex-Officer $3.2 Million
2016-03-14T14:26:35.000+02:00
The local watchdog gives fraudulent company and its ex-employee a seven figure fine.
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Analysis
Hong Kong Watchdog Fines Okasan International for Profit Disclosure Failures
2015-11-02T13:29:32.000+02:00
Okasan Securities’ Asian arm has repeatedly failed to disclose the profits made from back-to-back operations on clients' behalf
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Prime Brokerage
KVB Kunlun Owner, CITIC Securities, Reports Quarterly Earnings
2015-10-29T14:32:53.000+02:00
A stagnant IPO market in the first part of the third quarter has slowed down growth rates, but increased market volatility offset revenues.
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Regulation
FINRA Fines Citigroup Global Markets $1.85M Following Supervisory Violations
2014-08-26T16:32:56.000+02:00
The Financial Industry Regulatory Authority (FINRA) has levied a $1.85 million fine against Citigroup Global Markets Inc., which now is also responsible for paying $638,000 in restitution, plus interest.
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Executive Moves
JPMorgan Hiring Spree Continues, 14 Advisers & Execs Brought in since March
2014-07-17T17:49:10.000+02:00
J.P. Morgan Securities, the affiliate of JPMorgan's wealth management business has been snatching up advisers and personnel from several leading brokerages since March this year, having now climbed to 14.
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Brokers
SBI Holdings Reports Q3 Financial Results, Revenue, Income Record Triple-Digit Growth
2014-02-13T07:16:57.000+02:00
The financial group SBI Holdings, whose subsidiaries specialize in fx, securities, and banking services has just reported its Q3 financial results, highlighted by growth in operating revenue and income.
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Brokers
Bitcoin regulatory status around the world, February 5th 2014
2014-02-05T18:56:35.000+02:00
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Brokers
GMO Click Securities Announces Volumes for January 2014 - On The Road to Recovery
2014-02-05T08:31:25.000+02:00
Japanese FX heavyweight GMO Click Securities has today announced its monthly figures for January 2014, demonstrating a healthy start to the year and a step toward the halcyon days of last summer.
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Exchanges
BATS and Direct Edge Get Green Light from SEC to Merge, Rebate Model Paying Off
2014-02-01T15:41:48.000+02:00
Two regulated stock exchanges with a combined market-share of nearly 20% of the US stock market volumes got regulatory approval from the Securities and Exchange Commission to merge, deal is expected to close within days.
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Payments
Bitcoin regulatory status around the world, January 16th 2014 update
2014-01-16T17:49:43.000+02:00
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Exchanges
J.P. Morgan Becomes Eighth Member To Take Stake in Chi-X Global
2014-01-08T15:54:18.000+02:00
The global financial services provider with assets of $2.5 trillion, takes an ownership interest in a growing execution-venue as prospects of order-flows in Canada, Japan and Australia are fueling the venue's potential.
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Regulation
US District Court Slaps RBS With $50 Million Fine For Interest Rate Manipulation
2014-01-07T03:03:55.000+02:00
The Royal Bank of Scotland (RBS) has been sanctioned with a $50 million fine by the US District Court of Connecticut for its role in the interest rate manipulation of Japanese securities known as Libor.
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Payments
PR: GOTrust Introduces FIDO certified microSD
2013-12-30T02:00:00.000+02:00
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Brokers
Bitcoin regulatory status in 13 countries
2013-12-25T02:00:00.000+02:00
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Exchanges
World's Largest Stock Exchange Just Got Bigger, NYSE/ ICE Deal Completed, Group Emerges
2013-11-13T20:29:40.000+02:00
The leading network of regulated exchanges and clearing houses for financial and commodity markets, now operates 23 market places covering 9,700 products and 17 million trades per day following its recent acquisition.
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Payments
Taobao now offers funds in China
2013-11-05T02:00:00.000+02:00
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Brokers
Lightspeed Financial acquires Noble Trading
2010-02-17T23:40:23.000+02:00
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Michael Greenberg
Previous
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