The broker is accused, among other things, of having offered “extravagant entertainment” to traders to get them to continue using its services.
The Financial Conduct Authority has levied a regulatory checklist for firms in case of a No-Deal Brexit, to ensure that operations continue smoothly even as the United Kingdom prepares to leave Europe.
The China Securities Regulatory Commission (CSRC) has set a timetable for the full opening of the country's finance sector.
Bank of England’s Financial Policy Committee (FPC) stated that the Libra project must meet the highest standards of resilience and be subject to appropriate supervisory oversight.
Under the revised rule, firms with no significant trading activities will have simplified and streamlined compliance requirements, while companies with significant trading activity will have more stringent compliance requirements.
The Icelandic financial supervisory authority has released a statement last 3 October over the monitoring of professional investment funds in the country, after a discussion was sparked on the subject.
EU watchdog launches consultation on market abuse regulation.
The European regulator will have to adjust to its new direct supervision missions, particularly regarding CCPs and with a view to Brexit.
Finans Danmark remarked that MiFID II cost disclosure regime should be simpler, providing relevant and comparable information to benefit end-clients.
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7th - 13th October 2019
One week of events and networking for professional investors and asset managers.