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From the Battle of Seattle to the Financial Crisis
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(Shutterstock) I had many lessons from the Battle of Seattle, and one of them was that policewomen can deal it out as good as any policeman. I got beaten up, badly, by one of Seattle’s best. Yesterday, I decided go down memory lane and visit the scene...
John Lothian Newsletter: US banks face ‘golden parachutes’ challenge; Senior Nasdaq NLX executive to depart; ‘Flash Cras...
via johnlothiannews

First Read Harvey Pitt on the Future of Stock Exchanges; The Big Board trading floor will become the next Apple store or Trump Tower, and other fearless predictions from the former SEC chief By HARVEY PITT, WSJ Predictions about Wall Street and its...
New Rules & Regulations 8/2/2013
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Ensuring markets work well for consumers and for firms – FCA publishes guidance on its approach to objectives Publishing the latest guidance on how the FCA intended to deliver its statutory responsibilities, The FCA Approach To Advancing Its Objectives...
Forex regulation and regulated forex brokers
via forextrading100

Currently forex brokers are usually better regulated in UK, US,Switzerland,Australia. 1 FCA UK (FSA UK) regulated Forex brokers 1.1 Firm Status in FCA, Authorised and EEA Authorised EEA Authorised -A financial services firm authorised in another European...
Bridging the Week: Feb 6 to 10, Feb 13, 2017 (Retail FX Dealer to Close; Top Five IA Compliance Topics …
via forex.tdprofiti

A renowned retail foreign exchange dealer agreed to shut its doors as a result of enforcement actions taken by the Commodity Futures Trading Commission and the National Futures Association, while the Securities and Exchange Commission’s Office of Compliance...

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Corporate & Financial Weekly Digest

Corporate & Financial Weekly Digest June 9, 2017 Posted in Broker-Dealer On June 7, the Financial Industry Regulatory Authority published Regulatory Notice 17-22, which addresses two rule changes impl...
SEC 2016 Examination Priorities Focus on ETFs, Cybersecurity and Liquidity Controls for Fixed-Income Funds | Corporate & Financial

On January 11, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released its 2016 examination priorities f