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Interactive Brokers LLC Pays $250,000 Infringement Notice Penalty

Interactive Brokers LLC ('Interactive') has paid a penalty of $250,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel ('the...

ASIC Broadens Fintech Cooperation with Canadian Regulators

ASIC has today announced a Cooperation Agreement with Canadian regulators on fintech cooperation. This agreement expands the existing framework for information sharing and also...

Stock Trader Charged in Insider Trading Ring

The Securities and Exchange Commission today charged a former day trader with making more than $1 million in illegal insider trading profits as part...

CFTC Staff Issues Interpretive Guidance Clarifying Commodity Trading Advisor Registration Requirements Resulting from the...

The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued interpretative guidance providing that a futures commission merchant...

Former Company Insider Earns More Than $4.1 Million for Whistleblower Tip

The Securities and Exchange Commission today announced an award of more than $4.1 million to a former company insider who alerted the agency to a...

ASIC Reports on Decisions to Cut Red Tape – April to September 2017

ASIC has released its latest report outlining decisions on relief applications, highlighting ASIC’s efforts to reduce red-tape and achieve a practical, positive outcome for...

SGX, ABS, ISCA, Law Society and SID Jointly Launch Guide on Prevention of Insider...

Singapore Exchange (“SGX”), together with the Association of Banks in Singapore (ABS), the Institute of Singapore Chartered Accountants (ISCA), the Law Society of Singapore...

LabCFTC Director Featured in Georgetown University Law Center’s Issue Brief on Fintech Innovation

Daniel Gorfine, Director of the Commodity Futures Trading Commission’s LabCFTC, is featured in the latest issue of Georgetown University Law Center’s Institute of International...

ASIC Overview of Licensing and Professional Registration

ASIC has today reported on its approach to and assessment of licence applications and professional registrations for the period July 2016 to June 2017. Report 553 Overview...

FMA Publishes First Peer-To-Peer/Crowdfunding Statistical Returns

The Financial Markets Authority (FMA) today published its first statistical report on peer-to-peer lending and crowdfunding in New Zealand. The data shows $259.9 million is currently loaned...

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