Brokers will have to send orders from retail investors to "open and transparent" auctions and meet stronger best execution obligations.
June 10, 2022The SEC is also investigating market making companies owned by Binance's CEO and whether company insiders may have engaged in trading abuses.
June 9, 2022The CFTC would be granted authority over crypto spot markets, based on the understanding that "most digital assets are more similar to commodities than securities".
June 8, 2022Analysis across KLD, Sustainalytics, Moody’s ESG, S&P Global, Refinitiv and MSCI finds significant differences in how indicators are measured.
June 5, 2022Resignation sparked by German police raids to investigate claims over mis-representation of ESG funds.
June 3, 2022"Sufficient factual evidence" has emerged that ESG factors were not taken into account in many investments, contrary to claims made in DWS fund prospectuses.
June 1, 2022In January 2021, TradeZero America halted trading in three meme stocks for about 10 minutes, but later told investors it had resisted instructions from its clearing broker to do so.
June 1, 2022ASX will scrutinise listed instruments to ensure they are “true to label” and only list new funds that comply with ASIC’s naming requirements.
May 31, 2022Firms advertising crypto services to Philippine users will have to provide proof they have registered with the SEC as companies and with BSP as remittance and transfer providers.
May 30, 2022Asset managers will be required to justify their use of ESG labels under new proposals from the SEC.
May 27, 2022