Euronext Announces Volumes For May 2017

Euronext, the leading pan-European exchange in the Eurozone, today announced trading volumes for May 2017. The May 2017 average daily transaction value on the Euronext cash order book stood at €8,471 million, up +42.8% compared to May 2016 and stable (+0.2%) from the previous...

Merrill Lynch (Australia) Futures pays $60,000 in infringement notice penalty

Merrill Lynch (Australia) Futures Limited (“MLAF”) has paid a penalty of $60,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (“the MDP”). The ASIC Market Integrity Rules (ASX 24 Market) 2010 requires market participants to demonstrate prudent risk management procedures in relation...

Nomura Announces Sponsorship Agreement with Japanese Professional Golfer Hideki Matsuyama

Nomura Holdings, Inc. today announced a three-year sponsorship with Japanese professional golfer Hideki Matsuyama, effective January 1, 2017. Mr. Matsuyama is currently a major contender in the United States PGA Tour. He is the first Asian golfer to win a World Golf Championships event and...

ESMA consults on potential CFD and binary options measures to protect retail investors

The European Securities and Markets Authority (ESMA) has published a call for evidence on potential product intervention measures relating to the provision of contracts for differences (CFDs), including rolling spot forex, and binary options to retail investors. ESMA published a statement on 15 December 2017...

XTB: Jakub Zablocki Dismissed As Chairman of the Supervisory Board

X-Trade Brokers Dom Maklerski S.A. (XTB) announced that on May 30, 2017, Jakub Zablocki decided to dismiss his position as Chairman of the Supervisory Board, the position was given to Jakub Leonkiewicz. This is the return to previous composition of Supervisory Board – Leonkiewicz...

Jeremy Anderson for Election to the Board of UBS Group AG

The UBS Board of Directors announced today that it will nominate Jeremy Anderson for election to the Board of UBS Group AG at the Annual General Meeting of Shareholders on 3 May 2018 and for election to the Board of UBS AG. Mr. Anderson was...

Singapore: Financial Penalties Imposed on Credit Suisse and UOB for 1MDB-Related Transactions

The Monetary Authority of Singapore (MAS) announced today that it has completed its two-year review of banks involved in 1MDB-related transactions known to-date.  In its latest regulatory actions, MAS has imposed financial penalties on Credit Suisse and United Overseas Bank (UOB), as well as...

CFTC Charges Purported Hedge Fund Capitol Equity FX LLC and California Residents Robert Leland Johnson IV and Marisa Elena Johnson with Fraud, Misappropriation, and Registration Violations

The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing of a civil enforcement action in the U.S. District Court for the Central District of California, Eastern Division, against Capitol Equity FX LLC (Capitol Equity), a purported hedge fund operating in California, and...

ASIC warns consumers about investment scams

During Consumer Fraud Week 2017, ASIC is reminding consumers to protect themselves against investment scams. ASIC Deputy Chairman Peter Kell said, 'The Targeting Scams report published today by the Australian Competition and Consumer Commission (ACCC) shows reports to Scamwatch on investment scams increased in 2016. ASIC is...

FINRA Sanctions Citigroup Global Markets Inc. $11.5 Million for Displaying Inaccurate Research Ratings

The Financial Industry Regulatory Authority (FINRA) announced today it has fined Citigroup Global Markets Inc. (CGMI) $5.5 million and required the firm to pay at least $6 million in compensation to retail customers for displaying inaccurate research ratings for numerous equity securities during a...

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