By Mike Castiglione, Director of Regulatory Affairs, Digital Assets In late June 2022, EU Parliament members announced agreement on a comprehensive bill that would require crypto businesses to follow anti-market abuse rules that build on the already-established rules for other asset classes outlined in the EU’s Market Abuse Regulation (MAR). This new bill, called the […]
EU Finds Agreement on Crypto Regulation Read More »
By: Chris Montagnino, Director of Regulatory Affairs A US broker-dealer (the “Firm”) recently paid a fine of $75,000 and agreed to an undertaking in order to resolve a matter involving violations of the SEC’s Market Access Rule, 15c3-5. The Firm was noted to have had inadequate controls to address particular requirements of 15c3-5 concerning erroneous
Market Access Control Failures Read More »
Originally published by City A.M. Demand for Nickel has boomed over the last decade as car companies scramble to secure supplies to make batteries for their new ranges of electric vehicles. At the start of this year, concerns about supply shortages following Russia’s invasion of Ukraine – where Russia delivers nine per cent of the world’s
City A.M.: Lawyers Circle London Metal Exchange After Nickel Market Meltdown Read More »
