Permanent bans imposed on three Swiss firms
The retail broker business model continues to evolve
Report outlines non-traditional costs of fraud
FCA says communications must be fair, clear and not misleading
State attorney lays three charges against Gregory Gray for alleged Ponzi-like scheme
The three respondents admit to breaching securities rules
Questrade is entitled to recover the $88,000 it spent on trades to cover a client’s naked short positions
Eurozone now has mechanisms to prevent sovereign default, says Fitch Ratings
Nevertheless, the report finds that HFTs reduced their provision of liquidity in dark trading venues significantly after the rule change
However, the culprit of the loss, investment-banking revenue, was also responsible for full year gains in revenue and net income in 2014