FINRA imposes $125k fine on Raymond James & Associates
Raymond James & Associates, Inc has agreed to pay a fine of $125,000 as part of a settlement with th...
Chloetrade metrics
FCA to Remove FX Derivatives from Scope of Transaction Reporting Regime
The UK Financial Conduct Authority has outlined new rules designed to make transaction reporting req...
Fanny
ESMA Unveils Single Framework to End Duplication in Trade Reporting, targeting up to €1 billion in annual savings for market participants
The European Securities and Markets Authority (ESMA) has unveiled a plan to simplify transaction rep...
Chloe
TraderEvolution Launches Integration with TRAction's Trade Reporting Solution
TRAction's trade reporting solution is now seamlessly integrated with TraderEvolution's technology, ...
Valerie
Centroid Solutions Integrates CS 360 Engine with TRAction for Automated Regulatory Reporting
Centroid Solutions and TRAction have announced a system integration to automate trade reporting, lin...
Bery
NXG Markets Secures FSCA Category 1 Licence — Raising the Bar for Regulated Forex Trading in Africa and Beyond
NXG Markets (Pty) Ltd today announced that it has been granted a Category 1 Financial Services Provi...
Valerie
ASIC Extends Conditional Short Selling Relief for Precious Metal-Linked Structured Products
The Australian Securities and Investments Commission (ASIC) has extended conditional short selling r...
David
CFTC Grants Exemptions to Four Prediction Markets, Easing Swap Reporting Requirements
The U.S. Commodity Futures Trading Commission (CFTC) has granted regulatory relief to four major pre...
Bery
Navaid Financial Services Settles FINRA Case with $35,000 Fine
Navaid Financial Services, Inc. has agreed to pay a $35,000 fine and accept a censure as part of a s...
Youmans
BaFin Fines JPMorgan SE €45 Million for Delayed Suspicious Activity Reports
Germany’s financial regulator BaFin has fined JPMorgan SE €45 million for repeatedly submitting susp...
Bery
