FINMA Closes Down Coin Providers and Issues Warning about Fake Cryptocurrencies

The Financial Market Supervisory Authority FINMA has closed down the unauthorised providers of the fake cryptocurrency "E-Coin". The developers of E-Coin had accepted some...

Sydney Man Faces Charges for Market Manipulation

Mr Benjamin Amzalak, 46, of Bondi in New South Wales, has appeared by his counsel before the Downing Centre Local Court today on 10...

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...

SEC Monitoring Impact of Hurricane Irma on Capital Markets, Continues to Monitor Impact of...

The Securities and Exchange Commission is closely monitoring of the impact of Hurricane Irma on investors and capital markets, and continues to monitor the...

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...

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

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

Commission Statement on T+2 Implementation

Last week, on September 5, 2017, the securities industry successfully implemented a shortened settlement cycle for most securities transactions, pursuant to amendments to Rule...

ASIC Releases Market Integrity Report

ASIC has today released its latest report on market integrity for the period 1 January to 30 June 2017. Read Report 542 Market integrity report:...

FINRA Issues Alert Warning Investors of Stock Fraud Following Hurricane Harvey

FINRA issued an Investor Alert today warning investors to beware of potential scams touting stocks and other investments promising huge financial gains in the...

CFTC Orders Ikon Global Markets, Inc. to Pay $200,000 for Recordkeeping Violations

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Ikon Global Markets, Inc. (Ikon) for failing to keep...

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