ASIC updates licence conditions on OpenMarkets Australia Limited

ASIC and OpenMarkets Australia Limited (OpenMarkets) have agreed for an independent expert to monitor, evaluate and report on OpenMarkets' implementation of recommendations arising from...

ASIC’s client money reporting rules finalised

ASIC has released the finalised ASIC Client Money Reporting Rules 2017(client money rules) which, from 4 April 2018, will impose record-keeping, reconciliation and reporting obligations...

SIX Adopts DTCC LEI Utility in Preparation for MiFID II

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...

ASIC Bans Former BBY Financial Adviser for Ten Years

ASIC has banned Sergio Nicolo Belardo, a Perth-based former financial adviser with BBY Ltd (BBY), from providing financial services for ten years. Mr Belardo was...

Sharon Binger, Director of Philadelphia Regional Office, to Leave SEC, G. Jeffrey Boujoukos Takes...

The Securities and Exchange Commission today announced that Sharon B. Binger, Director of the Philadelphia Regional Office, will leave the agency at the end...

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

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...

Russian regulator reviews MOEX USD/RUB FX Fixing

Following its monitoring of the MOEX USD/RUB FX Fixing, the Central Bank of Russia (CBR) has confirmed that the benchmark accurately reflects the market...

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...

Two International Bank Managers Charged in Libor Interest Rate Manipulation Scheme

Two French bank managers were indicted today for participating in a scheme to transmit false and misleading information related to the London Interbank Offered...

Commissioner Quintenz Named Sponsor of the Technology Advisory Committee

The U.S. Commodity Futures Trading Commission (CFTC) today announced that Commissioner Brian Quintenz will sponsor the CFTC’s Technology Advisory Committee (TAC). The TAC advises...

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