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    SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors

    Regulation Comparic Team -
    The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for the...

    CFTC Divisions Extend Time-Limited No-Action Relief from the Clearing and Trade Execution Requirements

    Regulation Comparic Team -
    The U.S. Commodity Futures Trading Commission’s (CFTC) Divisions of Clearing and Risk (DCR) and Market Oversight (DMO) today each extended previously-issued no-action relief from...

    CEO Charged With Using Secret Accounts for Insider Trading in Company Stock

    Regulation Comparic Team -
    The Securities and Exchange Commission today charged the former CEO of a Silicon Valley-based fiber optics company with insider trading in company stock by...
    How to trade news on the Forex market

    ASIC Cancels Gallop International’s Australian Financial Services Licence

    Regulation Comparic Team -
    ASIC has cancelled the Australian financial service licence (AFS) licence of Gallop International Group Pty Ltd, formerly known as Weather Pro Exchange Pty Ltd (ACN...

    ASIC Targets Unlicensed Binary Option Mobile Apps

    Regulation Comparic Team -
    In March 2017, ASIC conducted a review of various mobile app stores focusing on apps associated with binary options trading. The review highlighted over 330...

    CFTC Orders CNCGC Hong Kong Ltd. to Pay a $150,000 Penalty for Call Cotton...

    Regulation Comparic Team -
    The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against CNCGC Hong Kong Ltd. (CNCGC HK), an investment...

    Hedge Fund Adviser Charged for Inadequate Controls to Prevent Insider Trading

    Regulation Comparic Team -
    The Securities and Exchange Commission today announced that hedge fund advisory firm Deerfield Management Company L.P. has agreed to pay more than $4.6 million...

    SFC bans Lawrence Lai for 10 years

    Regulation Comparic Team -
    The Securities and Futures Commission (SFC) has prohibited Mr Lawrence Lai, a former representative of UOB Kay Hian (Hong Kong) Limited and UOB Kay...

    CFTC Orders Convergent Wealth Advisors LLC to Pay an $800,000 Civil Monetary Penalty for...

    Regulation Comparic Team -
    The U.S. Commodity Futures Trading Commission (CFTC) today filed an Order instituting proceedings and settling charges against Convergent Wealth Advisors LLC (Convergence), an investment...

    SIX Adopts DTCC LEI Utility in Preparation for MiFID II

    Regulation Comparic Team -
    SIX Securities Services is to offer Legal Entity Identifiers to Swiss companies in partnership with the Depository Trust and Clearing Corporation. The agreement comes as...
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