July 21, 2016 BY Valentina Kirilova

OSC's summary report for dealers, advisers and investment fund managers is out

The Ontario Securities Commission (OSC) has published OSC Staff Notice 33-747 Annual Summary Report for Dealers, Advisers and Investment Fund Managers. The report describes initiatives undertaken by the OSC’s Compliance and Registrant Regulation Branch in the 2015-2016 fiscal year, including registration and compliance activities, policy initiatives and new programs. Debra Foubert, Director of Compliance and Registrant…

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July 21, 2016 BY Valentina Kirilova

Fiserv delivers new tool to enable financial advisors to build client relationships by sharing relevant content

Fiserv, Inc. (NASDAQ: FISV), a global provider of financial services technology solutions, has announced the availability of a new tool, Grapevine6, to enable the delivery of relevant articles and digital content through the Wealth Management Network from Fiserv. This will allow financial advisors to grow their networks and build rapport with their clients by becoming a…

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July 21, 2016 BY Valentina Kirilova

OTC Markets Group welcomes First Security Inc. to OTCQX best market

OTC Markets Group Inc. (OTCQX: OTCM), operator of financial markets for 10,000 U.S. and global securities, has announced First Security Inc. (OTCQX: FIIT), the holding company for First Security Bank, Inc., a Kentucky based banking corporation, has qualified to trade on the OTCQX® Best Market. First Security Inc. upgraded to OTCQX from the Pink® market. First…

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July 21, 2016 BY Valentina Kirilova

S&P Dow Jones risk & volatility index dashboard for July 2016

Here's this month's commentary on S&P Dow Jones risk & volatility index dashboard: Calm has returned: VIX closed at 11.77, its lowest level for over a year. Along with VIX, nearly every volatility measure is down since our last report. The greatest falls were in short term U.S. equity volatility and in British pound sterling volatility.…

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July 21, 2016 BY LeapRate Staff

Maximizing return on investment from Sports Sponsorships

As we reported recently at LeapRate, more and more marketing dollars from Forex brokers (and other advertisers targeting a young male demographic) are heading toward sports sponsorships. But how can we measure return on those sponsorships? How can we maximize those returns? We are please to present a special guest post on the subject by Stephen…

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July 21, 2016 BY Valentina Kirilova

FCA publishes thematic review into dark pools

Firms operating dark pools have made significant progress in addressing the promotion and the management of conflicts of interest according to a new report from the Financial Conduct Authority (FCA) published today. Dark pools are trading venues with no-pre trade transparency where the price and volume of all orders are hidden and anonymous. The FCA…

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July 21, 2016 BY LeapRate Staff

Canadian regulator BCSC warns against retail forex broker XForex / XTrade

Continuing its string of warnings against forex and binary options brokers targeting traders in Canada, Canadian securities regulator the British Columbia Securities Commission (BCSC) has issued a warning to investors regarding XForex / XTrade (at website xforex.com). XForex.com was recently integrated by parent company XFR Financial Ltd into sister brand XTrade.com, alongside a major marketing campaign which…

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July 21, 2016 BY Valentina Kirilova

FCA warns on clone firm MTA Trade Limited

Today the UK Financial Conduct Authority put out details of the cloned firm MTA Trade Limited t/a MTA Trade UK. Fraudsters are using the details of firms, authorised by the FCA, to try to convince people that they work for a genuine, authorised firm. The clone firm are using or giving out the following details as part…

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July 21, 2016 BY Valentina Kirilova

OTC Clearing Hong Kong Ltd clears USD/CNH cross currency swaps

OTC Clearing Hong Kong Limited (OTC Clear), a subsidiary of Hong Kong Exchanges and Clearing Limited (HKEX), has announced that the Securities and Futures Commission has granted approval of its clearing services for cross currency swaps. OTC Clear expects to launch the service in August of this year. OTC Clear will initially provide clearing for…

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