FINRA Sanctions Oppenheimer & Co. $2.9 Million For Unsuitable Sales Of...
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Oppenheimer & Co. Inc. $2.25 million and ordered the firm to pay restitution of more than $716,000 to affected...
View ArticleEuronext Announces Quarterly June 2016 Review Results Of The PSI 20
Euronext today announced the results of the quarterly review for the PSI 20. The changes due to the review will be effective from Monday, June 20.read more...
View ArticleCFTC Swaps Report Update
CFTC's Weekly Swaps Report has been updated, and is now available.read more...
View ArticleFundraising for Social Change, 7th Edition
Fundraising for Social Change is the preeminent guide to securing funding, with a specific focus on progressive nonprofit organizations with budgets under $5 million. Used by nonprofits nationally and...
View ArticleMultinational Finance: Evaluating the Opportunities, Costs, and Risks of...
Multinational Finance offers an advanced exploration of international corporate finance concepts and operations. Despite its status as one of the most rigorous texts on the topic, this book remains...
View ArticleSIFMA Launches State-By-State Capital Markets Database
SIFMA has launched an interactive database that displays information about the capital markets in each state. The database is designed to be a resource for audiences seeking to learn more about...
View ArticleASX Investor Presentation At The Sandler O'Neill Global Exchange And...
Attached is a copy of an investor presentation to be delivered by ASX’s Deputy CEO at the Sandler O’Neill Global Exchange and Brokerage Conference in New York City on 9 June 2016 (US time).
View ArticleBursa Malaysia Extends Green Lane Policy To Futures Brokers And General...
Effective 16 June 2016, Bursa Malaysia will extend the ‘Green Lane Policy’ to the eligible futures brokers and eligible general clearing participants to commence their activities with only a...
View ArticleETFGI Reports Assets Invested In ETFs/ETPs Listed Globally Reached A New...
ETFGI the leading independent research and consultancy firm on trends in the global ETF/ETP ecosystem, today reported assets invested in ETFs/ETPs listed globally reached a new record high US$3.143...
View ArticleTokyo Commodity Exchange And Thailand Futures Exchange Sign Memorandum Of...
Tokyo Commodity Exchange (TOCOM) and Thailand Futures Exchange (TFEX), announced that they have signed a Memorandum of Understanding (MOU), which will establish a cooperative relationship between the...
View ArticleKDPW_CCPâs First Foreign Clearing Member ABN AMRO Clearing Bank N.V....
ABN AMRO Clearing Bank N.V., KDPW_CCP’s first foreign participant, has started to clear transactions on GPW’s cash and derivatives market. As a general clearing member of the KDPW_CCP, ABN AMRO will...
View ArticleâNEMO Committeeâ Established To Manage Joint Responsibilities Of...
Europe’s electricity spot exchanges that have been designated as NEMOs (Nominated Electricity Market Operators) have established the “NEMO Committee” to take forward their joint responsibility to...
View ArticleUKâs Financial Conduct Authority Bans Two Individuals For Lack Of...
The Financial Conduct Authority has banned Mark Kelly and Patrick Gray from working in the financial services industry on the basis that they lack integrity.read more...
View ArticleWarsaw Stock Exchange Monthly Statistics For May 2016
Warsaw Stock Exchange Monthly Statistics for May 2016 is now available:read more...
View ArticleAlacra And OutsideIQ Bring Artificial Intelligence To Due Diligence Reporting
Regulatory SaaS technology leader Opus announced today that Alacra, its KYC and reference data management platform, has signed a distribution partnership with OutsideIQ, the leader in risk-focused,...
View ArticleMNI Russia Consumer Sentiment Indicator: Russia Consumer Sentiment Hits...
Consumer sentiment in Russia declined to a record low level in May, halting three consecutive months of growth. Sentiment, which has followed a downward path since mid-2013, appeared to have troughed...
View ArticleNYSE Governance Services Announces 2016 Leadership Award Winners
NYSE Governance Services, a subsidiary of New York Stock Exchange (NYSE: ICE), today announced the winners and finalists of its 3rd annual Governance, Risk, and Compliance Leadership Awards. The awards...
View ArticleNetOTC Announces Its Decision To Put Its Initiative For Margining Non-Cleared...
NetOTC, the risk solutions firm that has been designing and building a full end-to-end market infrastructure for non-cleared OTC derivatives in close collaboration with regulatory and industry bodies,...
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