U.S. Commodity Futures Trading Commission Acting Chairman J. Christopher Giancarlo announced that Daniel J. Davis has been named the agency’s General Counsel. Mr. Davis comes to the CFTC from the law firm of Proskauer Rose LLP, where he was Special Counsel in the Labor & Employment Law Department. Mr. Davis will assume his duties today.…
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Mr Stephen Burgin, an authorised representative of Interprac Financial Planning, closed his website steveburgin.com.au in response to concerns raised by ASIC. ASIC was concerned by images and references on the website which may have implied endorsements or approvals which were not actually held. This includes references to Mr Burgin as: A Senior ASIC Licensed Adviser;…
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The Ontario Securities Commission (OSC) published a white paper and video to highlight key insights gained from RegHackTO, the first hackathon by a securities regulator in Canada. Held in November 2016, RegHackTO brought together more than 120 members of the Canadian fintech community who competed to find solutions to regulatory problems in four areas: RegTech,…
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Dow Jones Media Group (DJMG ) announced the launch of Moneyish, a new lifestyle website that redefines finance-driven storytelling. Where sites like Vice Money, which launched in October, or Coinage, Time Inc.’s video-focused brand that bowed in February, or Mic Money, which went live last July (before turning into The Payoff), are focused on unpacking…
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Research firm Investment Trends released its 2016 Second Half Online Broking Report, an in-depth study of Australian online equities investors’ attitudes and behaviours. The study is based on a survey of over 13,000 investors and traders conducted in November 2016. Key highlights include: A record 77,000 Australians started trading online in the second half of…
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The UK Financial Conduct Authority (FCA) has put out details of the cloned firm Tide U Over. Fraudsters are using the details of firms, authorised by the FCA, to try to convince people that they work for a genuine, authorised firm. Fraudsters are using or giving out the following details as part of their tactics…
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Bloomberg Tradebook, Bloomberg’s global agency broker, announced today the introduction of OPTX, a new approach to delivering best execution that harnesses the power of its agency execution model, global connectivity and Bloomberg’s data and analytics. OPTX provides clients with a single platform that utilizes quantitative data models and analytic-driven selection to route orders to a…
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Plato Partnership, a not-for-profit company bringing creative solutions and efficiencies to today’s equity marketplace, just announced 15 new Plato Partners. The new Partners include: BBVA Asset Management, Capital International Ltd, part of the Capital Group, Commerzbank AG, Instinet Europe Ltd, Jefferies, Legal & General Investment Management, Macquarie Group, RBC Capital Markets, Rosenblatt Securities Inc., Standard…
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Hong Kong’s financial regulator the Securities and Futures Commission (SFC) has updated its Alert List, which features the names of businesses that are unlicensed in Hong Kong and are believed to be, or to have been, targeting Hong Kong investors or claim to have an association with Hong Kong. Added to the SFC Alert List are…
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The UK Financial Conduct Authority (FCA) has put out details of the cloned firm Gem Loans / Jem Loans. Fraudsters are using the details of firms, authorised by the FCA, to try to convince people that they work for a genuine, authorised firm. Fraudsters are using or giving out the following details as part of…
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