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Showing posts with label securities. Show all posts
Showing posts with label securities. Show all posts
Friday, 9 June 2023

Crypto frenzy is rife with ‘hucksters, fraudsters, scam artists’

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The current crypto frenzy is “reminiscent of what we had in the 1920s before the federal securities laws were put in place,” said U.S. Secur...
Thursday, 13 May 2021

Robinhood’s Big Gamble

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In eliminating barriers to investing in the stock market, is the app democratizing finance or encouraging risky behavior? The app gives new ...
Saturday, 22 October 2016

A market is springing up for “regtech”, fintech’s nerdy new offspring

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"On September 29th, IBM announced the purchase of Promontory, a 600-strong consultancy whose senior staff include former officials fr...
Wednesday, 11 November 2015

Pressure builds to delay MiFID II reforms

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From Finextra – “Pressure is mounting on the European Commission to postpone the implementation of securities market reforms under MiFID ...
Tuesday, 9 June 2015

International Securities Settlement & Custodial Training

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2/3 July 2015 – London Course Description This 2 day training program is designed to provide delegates with practical knowledge abou...
Sunday, 26 April 2015

Cooperating with Regulators? The Pros and Cons

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From Wealth Management.com - “While securities regulators say self-reporting offenses and cooperating with authorities may help advisors ...
Tuesday, 8 April 2014

High-Frequency Din Rises as Trading Inquiries Evoke Market’s Past Scandals

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From Bloomberg Business “Scrutiny of high-frequency trading is stirring memories among investment veterans of earlier scandals when the g...
Wednesday, 29 May 2013

The key steps in clearing and settling in the securities trade

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Stanley Epstein - Principal Associate - Citadel Advantage We have all been concerned these past few years about the ongoing financial cr...