Katy Press

On February 25, 2022 the SEC proposed new Rule 13f-2 to provide greater transparency through the publication of certain short sale data to investors and other market participants. It also proposed Rule 205, which would establish a new “buy to cover” order marking requirement for certain purchase orders effected by a broker-dealer for its own […]

At the end of January, the Canadian Securities Administrators (CSA) announced that the Investment Industry Regulatory Organization of Canada (IIROC) and the Montréal Exchange (MX) have entered into a Memorandum of Understanding (MoU) regarding cross-market surveillance. The primary objective is to “assist in the development, administration, coordination and fulfillment of the cross-market surveillance mandate.” The

  In the opening panel of the Crypto Regulation Asia 2022  conference, featured panelists including our Sales Director, Vince Turcotte discuss how crypto markets have been undergoing a period of rapid development and adoption worldwide, with regulators taking notice. It explores the regulatory landscape for crypto markets, the benefits and risks of DeFi, and the

Originally published by FinanceFeeds.   EVENTUS IS ON A ROLL Eventus Systems was present at Tradetech FX USA 2022 after a boom year in 2021. The firm completed a $30 million Series B funding round to scale the business, entered the Australia and Canada markets, launched Project TEN together with Notabene and TRM Labs, and

On February 9, 2022, FINRA published the eagerly awaited 2022 Report on FINRA’s Examination and Risk Monitoring Program (the “Report”). The purpose of the Report is to provide firms with information concerning recent examination findings, outline effective practices observed by FINRA during their exams and generally highlight key considerations for firms’ compliance programs. At a

On January 27, 2022, the Hong Kong Securities and Futures Commission (SFC) and the Australian Securities and Investments Commission (ASIC) jointly released a circular that detailed their observations following a collaborative thematic review into the governance arrangements and internal controls within the FX business of selected SFC and ASIC licensed firms. The review covered a