SEC Names Paul G. Cellupica as Deputy Director of the Division of Investment Management
The Securities and Exchange Commission announced today that Paul G. Cellupica has been named Deputy Director of the agency's Division of Investment Management.
Mr. Cellupica will oversee a number of the division's strategic, rulemaking, and industry engagement initiatives. He will also serve as a senior advisor...
FINRA Fines Merrill Lynch $2.8 Million for Systemic Reporting, Books and Records, and Related Supervisory Violations
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner and Smith Inc. $2.8 million for systemic trade reporting, Order Audit Trail System (OATS) reporting, books and records, and related supervisory violations that occurred over a period of...
TradAir CEO, Illit Geller to Step Down
TradAir, the global provider of Trading Technology solutions for banks, brokers, prime of primes and regulated marketplaces, announced today that Illit Geller, co-founder and Chief Executive Officer, has decided to step down as CEO.
Illit will remain a member of the Company’s Board of Directors,...
NEX Regulatory Reporting Announces It Will Apply to Become an SFTR Trade Repository
NEX Regulatory Reporting announces today its intention to apply to become a trade repository for the Securities Financing Transactions Regulation (SFTR) and launch a dedicated reporting solution, pending the issuance of the final technical standards from ESMA.
NEX Regulatory Reporting will in time add the...
MDK: The Largest European Community on the Vkontakte Social Network Launching ICO
The entertainment platform MDK, represented by popular communities on Vkontakte, Telegram, Twitter, YouTube, and Instagram, will be conducting the first phase of its ICO November 29, 2017. MDK will be creating a new mobile app and its own blockchain project that would allow its...
FXecosystem Expands into Hong Kong
FXecosystem, a leading provider of institutional & retail FX outsourced connectivity services, today announced further expansion in Asia, with a point of presence (POP) in the Equinix (Nasdaq: EQIX) Hong Kong data centre, HK1.
This expansion is to accommodate current retail and institutional client requirements...
Italian Consob Warning List
The National Commission for Companies and the Stock Exchange (CONSOB) reports that:
the companies Dc Digital Processing 2 Ltd and Green Galaxy International SA, operating through the website www.optionbit-it.com, are not authorised to provide investment services and business in Italy in any way;
two...
CySEC: Reminder For The Obligations Of Article 32 Of The Investment Services And Activities And Regulated Markets Law – Changes In The Persons Who Effectively Direct The Business Of...
The Cyprus Securities and Exchange Commission (‘the CySEC’) wishes, with this circular, to remind the Cyprus Investments Firms (‘CIFs’) and the persons who effectively direct the business of CIF of the obligations provided in Article 32 of the Investment Services and Activities and Regulated...
ICAP Energy appoints Kieran Walsh as Director of European Agricultural and Soft Commodities to launch new European broking desk
ICAP plc (IAP.L), a leading markets operator and provider of post trade risk mitigation and information services, announces today that it has appointed Kieran Walsh as Director of European Agricultural and Soft Commodities to launch and manage a new European agricultural commodities desk. Kieran...
CySEC: Xtrade Europe with partial CIF license suspension
The Cyprus Securities and Exchange Commission (‘CySEC’) announces that the authorisation of the Cyprus Investment Firm Xtrade Europe Ltd (‘the Company’), number 108/10, is partially suspended for the provision of financial services and the performance of financial activities to new clients, pursuant to section...
