World Investor Week is a 7 day global campaign dedicated to investor protection and education. The CFTC, NFA ,SEC and FINRA will participate.
FINRA Charges Ayre with Fraud and Unlawful Distribution of Unregistered Cryptocurrency Securities HempCoin FINRA announced today that it filed a complaint against Timothy Tilton Ayre of Agawam, Massachusetts, charging him with securities fraud and the unlawful distribution of an unregistered cryptocurrency security called HempCoin. This case represents FINRA’s first disciplinary action involving cryptocurrencies. In the complaint, […]
Aegis Capital Pays $1.3 Million for Anti-Money Laundering Violations FINRA and the Securities Exchange Commission have fined Aegis Capital Corp., NY based Broker-Dealer, $550,000 and $750,000, respectively, in enforcement actions for Anti-Money Laundering (AML) Violations. FINRA Fines Aegis Capital Corp. $550,000 On March 28th FINRA announced in a press release that they had fined Aegis Capital over half […]
Hurricane Sandy took a physical toll on New York City, but a joint meeting of the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and the Commodity Futures Trading Commission (CFTC) on the topic of disaster recovery, proved that it’s not just physical damage that companies are worried about.
In response to several high profile anomalies in the trading market due to High Frequency Trading (HFT) in the past year, the Finance Industry Regulatory Authority (Finra) has been looking into several trading firms with how they use and control their trading algorithms.
The CFTC and the SEC now have FINRA, the financial industry’s self-regulator body, helping to crack down on high-frequency trading (HFT).
An SEC official said Thursday that the commission is close to proposing new rules for a consolidated audit trail of activity across national stock exchanges, calling it “a top priority.” The proposed changes are expected to hit high-frequency trading firms hardest. That’s because costs of the consolidated audit trail, or CAT, would be spread across […]
22 senators wrote a letter to five federal agencies Thursday, calling for regulators to adopt a final Volcker rule free from loopholes and Wall Street concessions. “You have no doubt heard, as we have, from those who would like us to forget the causes of the financial crisis and forget the causes of the financial […]
Defense counsel for disgruntled former hedge-fund manager and commodities trader Vincent P. McCrudden will argue before a judge that he should be allowed to show evidence of financial conspiracy theories at his trial next week. McCrudden has been charged with “transmission of threats to injure” after sending vicious threats to 47 current and former officials […]
As part of an on-going effort to raise the public IQ on financial products, the SEC’s Office of Investor Education and Advocacy and FINRA jointly issued an investor alert called “Structured Notes with Principal Protection: Note the Terms of Your Investment” to educate potential investors of the risks associated with this particular. The retail market […]
BIS Press Release - Easing trade tensions lift sentiment: BIS Quarterly Review, 8 December 2019 […]
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Thank you, David, for that kind introduction. I appreciate your leadership and that of the Asia Advisory Board. This is David’s last year as chair of the FIA Asia Advisory Board...As commodity market participants look ahead to 2020, perhaps the only thing they can be sure of is uncertainty. That was the theme at a panel discussion Dec. 4 at FIA's Asia 2019...FIA responded today to the ESMA consultation paper on Draft technical advice on commercial terms for providing clearing services under EMIR (FRANDT). FIA and its members are fully supportive of...Today, FIA and ISDA submitted a response to ESMA's consultation on the review of the Market Abuse Regulation. We focused on the ESMA proposals for commodities and explained why the separate...The U.S. Commodity Futures Trading Commission held a public meeting Nov. 25 in Washington, D.C., to discuss final amendments to several sections of the agency's Part 4 rules. The amendments, which...FIA welcomed around 100 attendees from across the derivatives industry to its forum in Brussels on 20 November, where the review of MiFID II, cross-border access to clearing and trading venues and...On 12 November, FIA held its Compliance and Regulation Forum for members in London where the prevailing theme was the future of cross-border market regulation. The forum's panel discussion...(Feed generated with FetchRSS) […]
Press release about the Basel Committee publishing consultation paper on revisions to the credit valuation adjustment risk framework, 28 November 2019. […]
Press release about the Basel Committee issuing guiding principles for the operationalisation of a sectoral countercyclical capital buffer, 27 November 2019. […]
Press release about the Basel Committee publishing more details on global systemically important banks (22 November 2019) […]
Press release about the Basel Committee issuing a Report on open banking and application programming interfaces, 19 November 2019. […]
Press release about the Basel Committee consulting on Pillar 3 disclosure templates related to banks' market risk and sovereign exposures, 14 November 2019. […]
The Monetary Authority of Singapore (MAS) and the Bank for International Settlements (BIS) today launched the BIS Innovation Hub Centre in Singapore. […]
Appointments made to lead BIS central bank groups, 11 November 2019. […]
Benoît Cœuré has been appointed to head BIS Innovation Hub, 11 November 2019. […]
Press release about the Basel Committee consulting on guidelines on cooperation between the prudential and AML/CFT supervision, 8 November 2019. […]
Press release about Basel Committee assesses members' implementation of the Net Stable Funding Ratio and large exposures framework, 7 November 2019. […]
Press Release - The Basel Committee announces Canada as host of the 2020 International Conference of Banking Supervisors, 31 October 2019. […]
Press Release - The Basel Committee discusses policy and supervisory initiatives and approves implementation reports, 31 October 2019. […]
Press Release - Basel Committee reports on Basel III implementation progress, 16 October 2019. Release of the "Seventeenth progress report on adoption of the Basel regulatory framework". […]
Report sets out governance of key OTC derivatives data elements, 9 October 2019. […]
The Swiss National Bank (SNB) and the Bank for International Settlements (BIS) have today signed an operational agreement on the BIS Innovation Hub Centre in Switzerland. […]
The Committee on the Global Financial System (CGFS) and the Markets Committee have published two major reports on the implementation and implications of unconventional monetary policy tools (UMPTs) introduced by central banks in response to the financial crisis and its aftermath. […]
FINRA cautions investors who are considering binary options to be alert to potentially fraudulent schemes, and particularly wary of non-U.S. companies that offer binary options trading platforms. […]