Home Derivatives Page 3

Keyword: Derivatives

298 results found
Cop chasing crook

CFTC plans tougher stance, bigger fines

New guidance signals larger fines, more misconduct admissions

Dispute at desk

SEC targets best-interest rules in broker reviews

Regulator's exam division sets compliance priorities for 2024

Bitcoin cyptocurrency

MX to launch Bitcoin futures

New cash-settled index futures to arrive in January

rules and regulations

CSA finalizes derivatives conduct rules

Canada remained the last G20 country without conduct standards for OTC derivatives markets

rules and regulations

Trade groups take on SEC custody reforms

In joint letter, industry associations lobby against proposed changes

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

MX sanctions weak trading oversight

Wedbush Securities fined for compliance failings

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

MX settles over firm’s supervisory weaknesses

JitneyTrade fined $90,000 for weak controls over direct-access clients

new rules

CIRO publishes revisions to proposed derivatives conduct rules

Comment period ends Aug. 14

  • By: IE Staff
  • July 13, 2023 July 13, 2023
  • 13:12
Personal finances

Regulators ponder new benchmark

OSC, AMF consult on new Term CORRA to help ease demise of CDOR

liquid dollar sign

Bye bye, LIBOR; welcome, CORRA

U.S.-dollar LIBOR put to pasture as the first phase of CDOR reform ends