Monex is committed to its goal of offering the wealth management services that protect the value of customers’ assets and of becoming a customer-centric asset/wealth manager. Monex is already offering consulting services to its customers through independent financial advisors. The in-person services allow the company to offer its products through in-person marketing and to cate…
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According to the FMA, the breaches occurred between September 2015 and July 2020. Jarden, formerly NZ Capital Securities, acquired OMF in 2019. The company self-reported to regulator in September 2020. During the period of the violations, the FMA found that OMF transferred its own money into the trust account meant to hold derivative investor money…
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Mark Branson said in his first conference since taking the new position: But for me, this is only the beginning of BaFin's long-term development. It will take time before we reach our objectives in all areas. Among the new measures taken this year to deliver on strengthening BaFin’s powers, task forces to oversee companies with…
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Liam Mason, FMA General Counsel, said: Advertising can significantly influence people’s investment decision making, so it’s critical that firms’ marketing materials don’t mislead or confuse consumers. The FMA noted in its announcement that the format of some ads is limited like banners on social media platforms and webpages. The regulator expects firms to ensure ‘click…
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Delahunt joins StoneX with a vast experience in the Municipal Bond space. He spent twenty-six years at Raymond James Financial, where he worked as a Quantitative Analyst, Institutional Portfolio Manager and National Sales Manager establishing himself as a Municipal Bond Trading expert. In this time period he earned multiple licenses and is a Registered Securities…
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The new appointment follows a period of significant growth for Ballinger. During the past year, the company’s team has increased five times in size. Ballinger also closed another successful funding round which has also been pivotal for the financial services provider in its expansion of talent, strategic partnerships and offering, as well as in its…
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Parameta Solutions, the flagship brand of TP ICAP’s Data & Analytics division, ensures transparency with the same methodology used to generate data that feeds into the Analytics Platform. Observable pricing is available to be reported to meet regulatory requirements under MiFID II and other related legislation. The transparency fields also support reporting obligations for regulations…
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Liu will also lead Barclays’ growth initiatives in China across all product lines in Global Markets, Investment Banking and Corporate Banking. Her work will see her partner with the bank’s regional heads of the CIB, and with Grace Kuo, Barclays’ Shanghai Branch Manager. Jaideep Khanna, Head of Barclays, Asia Pacific, said: China presents a big…
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FXSpotStream Co-Founder and CEO Alan Schwarz said: We have grown tremendously since our launch in 2011 becoming the 3rd largest FX Service by volume with an ADV this year at USD48.5billion. At the same time, we have placed great importance on the speed and quality of our market data distribution. Our aim is to provide…
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What will you bring from your previous roles to your new position at Invast Global? Charl de Vleeschauwer said: I have had the privilege in my career to work with some of the finest Financial Market Professionals in the Banking world, and I am excited to bring my experience and passion for Electronic Trading Solutions…
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