Hong Kong’s Securities and Futures Commission (SFC) has banned Mr Lau Tin Yau, a former relationship manager of Standard Chartered Bank (Hong Kong) Limited (SCBHK)…
Steven Harker to retire from Westpac Board
Westpac Banking Corporation announces that Steven Harker has decided to retire from the Board. Mr Harker joined the Board in March 2019 and has been…
CFTC lawsuit against binary options scam Yukom Communications continues
The proceedings brought by the United States Commodity Futures Trading Commission (CFTC) against fraudulent binary options scheme Yukom Communications and a number of individuals and…
FINRA imposes $200,000 fine on NYLIFE Securities
NYLIFE Securities LLC has agreed to pay a fine of $200,000 fine as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).…
CFTC reaches settlement in principle with head of $10M fraudulent trading scheme
The United States Commodity Futures Trading Commission (CFTC) and William S. Evans, III, a defendant in a lawsuit over a $10 million fraudulent scheme, appear…
XTB rebounds in Q3 with Revenues up 256% QoQ to $49 million
Poland based Retail FX and CFDs brokerage group XTB (WSE:XTB) has reported its financial results for Q3-2021, indicating that the company bounced back nicely from…
SEC goes after AMV Investments founder
The United States Securities and Exchange Commission (SEC) has taken action against Ann M. Vick, a founder of AMV Investments LLC. According to the SEC’s…
Deutsche Bank opposes spoofing allegations
Deutsche Bank Securities Inc. (DBSI) and Deutsche Bank AG (DBAG) have responded to accusations about market manipulation. On October 25, 2021, Deutsche Bank argued that…
Samtrade FX deploys Centroid’s connectivity, liquidity, and risk management solutions
Retail FX broker Samtrade FX has announced that it has partnered with Centroid Solutions. This partnership will see Samtrade FX offering their multi-asset liquidity to…
Saxo Markets secures Type 4 and Type 9 Licenses from Hong Kong’s SFC
Online trading and investment specialist Saxo Capital Markets HK Limited announces that it has obtained Type 4 (Advising on securities) and Type 9 (Asset Management)…