FINRA alerts firms to “Log4Shell” cyber vulnerability
The United States Financial Industry Regulatory Authority (FINRA) has added its voice to the growing chorus of regulators and institutions warning of the “Log4Shell” vulnerability...
SEC seeks to reform insider trading regime
The United States Securities and Exchange Commission (SEC) today proposed amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 to enhance disclosure requirements...
Exclusive: GMO-Z.com Trade UK applies to cancel FCA license
FNG Exclusive… It looks like Japan’s largest Retail FX broker is taking leave of its regulated business in the UK.FNG has learned that GMO-Z.com Trade...
Clearstream processes first dematerialised issuances on D7
Clearstream, part of Deutsche Börse Group, has launched a central register for electronic securities in Germany, supporting first dematerialised issuances conducted by Deka Bank as...
Interactive Brokers introduces portfolio improvements in Client Portal
Electronic trading major Interactive Brokers has boosted the functionalities of Client Portal, its web application that serves as traders’ one-stop destination to check quotes and...
HK watchdog fines Mason Securities $3.6M for AML requirement breaches
Hong Kong’s Securities and Futures Commission (SFC) has reprimanded Mason Securities Limited (MSL), formerly known as GuocoCapital Limited (GCL), and fined it $3.6 million for...
Rakuten Securities to add 100 stocks to lineup of trading instruments
Japanese FX, CFD and stock brokerage Rakuten Securities, a subsidiary of Internet services provider Rakuten Inc (TYO:4755), continues to expand its offering of trading instruments....
CySEC grants certain UK firms permission to operate under TPR
The Cyprus Securities and Exchange Commission (CySEC) has issued a Policy Statement relating to its decision to further amend Directive 87-04, in an effort to...
Nearly 2M households invest in financial instruments in the Netherlands
The Dutch Authority for the Financial Markets (AFM) has published the latest edition of its Consumer Investments Monitor.The report shows that, in 2021, the number...
Fidelity Institutional appoints Rohit Mahna as Head of Client Growth
Fidelity Institutional, the division of Fidelity Investments dedicated to providing technology, solutions and insights to wealth management firms and institutions, announced today that Rohit Mahna...