Compliance Week12h
Apex Clearing Corp. to pay $3.2M over improper disclosures, distorted investor compensation
A clearing firm agreed to pay $3.2 million and certify that it put in place compliance measures under an agreement with the ...
Compliance Week12h
Apex Clearing Corp. to pay $3.2M over improper disclosures, distorting investor payouts
A clearing firm agreed to pay $3.2 million and certify that it put in place compliance measures under an agreement with the ...
NSE Clearing defaults in liquidity norms
NSE Clearing Ltd, the clearing house of the National Stock Exchange (NSE), has failed to meet the capital markets regulator ...
NSE Clearing fails to meet Sebi-mandated liquidity norms, flags BSE unpaid dues of over ₹312 crore
New Delhi, Feb 5 (PTI)- NSE Clearing Ltd, the clearing house of the National Stock Exchange (NSE), has failed to meet the ...
Financial Planning1d
Clearing firm to pay $3.2M for not paying client fees on borrowed securities
Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would ...
money.rediff1d
NSE Clearing Fails to Meet Liquidity Norms: Rs 176.65 Cr Shortfall
NSE Clearing Ltd has failed to meet Sebi's liquidity requirements due to pending dues from BSE. The shortfall of Rs 176.65 ...
WealthManagement.com2d
FINRA Fines Apex Clearing $3.2M for Securities Lending Violations
This is FINRA’s first enforcement action for violations of Rule 4330, which established requirements for the borrowing of ...
Global Finance3d
The Real-Time Payments Revolution
Businesses are beginning to realize the strategic benefits of real-time payments: not just speed, but enhanced control over ...
Digital Transactions7d
Full Send-And-Receive Capabilities Are Key to Growing Real Time Payments, a Report Argues
Just 22% of financial institutions currently offer full send-and-receive capabilities over the Real Time Payments network operated by The Clearing House Payments Co., while 4% offer full ...