BaFin imposes administrative fines
Regulator Information
Regulator Name: Federal Financial Supervisory Authority
Abbreviation: BaFin
Jurisdiction: Germany
Email: [email protected]
Recent Articles
Proposed amendments to permit reduced margin for swap position partial offsets held in inventory
Executive Summary
IIROC is proposing amendments to the IIROC Rules (Proposed Amendments) that would permit margin reductions for Dealer Member (Dealer) inventory offsets of:
non-equivalent...
FINRA Requests Comment on a Proposal to Shorten the Trade Reporting Timeframe for Transactions in Certain TRACE-Eligible Securities From 15 Minutes to One Minute
Summary
FINRA is soliciting comment on a proposal to amend Rule 6730 to reduce the Trade Reporting and Compliance Engine (TRACE) trade reporting timeframe for transactions in all TRACE-Eligible Secur
FINRA Reminds Firms of Their Obligation to Supervise for Digital Signature Forgery and Falsification
Summary
FINRA has received an increasing number of reports regarding registered representatives and associated persons (representatives) forging or falsifying customer signatures, and in some cases s
Notice of Annual Meeting of FINRA Firms and Election Proxy
Summary
FINRA will conduct its Annual Meeting of firms on Friday, August 19, 2022, at 10:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, Washington, D.C.
