Category: Financial Services

Broadridge’s Fi360 and ProctorU partner to launch remote proctoring and identity management solution
April 28, 2025 BY Sam Boughedda

OneDigital Financial Partners with Broadridge to Enhance Retirement Services

The collaboration will integrate Broadridge’s data aggregation, reporting, and proprietary fund scoring capabilities into OneDigital’s national platform. This new partnership aims to streamline the retirement planning process, offering OneDigital’s advisors more time to assist clients with effective retirement programmes. Additionally, the firm’s home office will benefit from improved compliance oversight and advanced business intelligence tools.…

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April 28, 2025 BY Sam Boughedda

ASIC Cancels Viridian Equity Group Pty Ltd Licence

The move follows a compensation payment made by the Compensation Scheme of Last Resort (CSLR). The action stems from Viridian Equity’s failure to comply with three determinations made by the Australian Financial Complaints Authority (AFCA) on 31 October 2024.  After the firm failed to pay the required compensation, the CSLR stepped in on 11 March…

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Euronext
April 25, 2025 BY Sam Boughedda

Euronext Launches European Common Prospectus to Boost IPO Activity Across the EU

Available immediately across all Euronext listing venues, including Amsterdam, Brussels, Dublin, Lisbon, Milan, Oslo and Paris, the new prospectus is said to simplify the listing process by replacing 21 traditional sections with just 11.  The firm adds that the prospectus is designed in English and will undergo the usual regulatory approvals. Euronext said the initiative…

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FINRA building
April 25, 2025 BY Sam Boughedda

Regulus Financial Group Fined by FINRA Over Form CRS Failures

The fine is for failing to disclose disciplinary history in key customer documentation, according to a Letter of Acceptance, Waiver, and Consent, published by FINRA. The violations relate to Regulus's failure to properly complete and update its Form CRS, a customer relationship summary mandated by the U.S. Securities and Exchange Commission (SEC) to promote transparency…

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CME Group
April 25, 2025 BY Sam Boughedda

StoneX Subsidiary Gain Global Markets Bermuda Fined by CME Group

The fine is for violations of block trade regulations, according to the disciplinary notice published by CME Group. In addition to the fine, Gain Global has been ordered to disgorge $449,910 in profits.  The penalties stem from findings by NYMEX's Business Conduct Committee, which concluded that the firm engaged in prohibited pre-hedging activity on multiple…

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LSEG, London Stock Exchange
April 24, 2025 BY Sam Boughedda

LSEG Risk Intelligence and Docusign Partner to Boost Digital Contract Security

The move is aimed at boosting digital contract security and reducing fraud in the US market. The companies explained in a press release that the collaboration enables US-based users to instantly verify consumer and business bank account details while completing digital agreements, helping prevent fraudulent activity and reducing transaction errors.  The functionality, now accessible through…

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April 24, 2025 BY Sam Boughedda

WisdomTree Partners with Marex On Structured Products Linked to ETFs

The companies explained that the partnership will allow institutional investors to access tailored exposure to digital assets through Marex-issued structured notes, linked to WisdomTree’s ETPs.  The products are said to offer varying levels of capital protection, yield enhancement, or leverage, depending on the investor’s risk profile. Dovile Silenskyte, Director of Digital Assets Research at WisdomTree,…

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StoneX
April 23, 2025 BY Sam Boughedda

StoneX's New York Precious Metals Vault Granted CME Registered Depository Status

The status enables it to store and deliver gold, silver, platinum, and palladium under COMEX and NYMEX contracts. Furthermore, the certification allows StoneX clients—including institutional traders, refiners, and bullion dealers—to make and take delivery of CME-eligible metals directly through the firm's facility, streamlining access to the exchange’s delivery network.  The approval comes as physical metal…

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CME Group
April 23, 2025 BY Sam Boughedda

CME Group Fines TFS Derivatives $125,000

According to a disciplinary notice issued by the exchange, the violations occurred across various NYMEX Energy futures and spread markets between 6–31 March 2023 and 2–20 June 2023.  TFS Derivatives neither admitted nor denied the findings but accepted the settlement terms. The NYMEX Business Conduct Committee reportedly found that TFS repeatedly reported block trades with…

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