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FINRA Sanctions Santander Securities LLC $6.4 Million For Supervisory Failures Related To Sales Of Puerto Rican Bonds

Date 13/10/2015

The Financial Industry Regulatory Authority (FINRA) announced today that it ordered Santander Securities LLC to pay approximately $4.3 million in restitution to certain customers who were solicited to purchase Puerto Rican Municipal Bonds (PRMBs). Additionally, the firm will pay restitution of $121,000 and make offers of rescission to buy back the securities sold to certain customers impacted by the firm's failure to supervise employee trading. FINRA also censured and fined Santander $2 million for supervisory failures related to sales of PRMBs and Puerto Rican closed-end funds, and for failing to reasonably supervise employee trading in its Puerto Rico branch office.
SIFMA's Bentsen Delivers Opening Remarks At Senior Investor Forum

Date 13/10/2015

SIFMA president and CEO Kenneth E. Bentsen, Jr., today delivered opening remarks at SIFMA's 2015 Senior Investor Forum, "Serving the Needs of Our Aging Investors" in New York. His full remarks can be found here.
LME Says ‘One-Size-Fits-All’ Regulation Won’t Fit Metals Market

Date 13/10/2015

The risks in metals trading are different from those in the financial markets, and if European Union (EU) regulation is not tailored accordingly, we could see irreparable damage to the wider industry, said the London Metal Exchange (LME) in a white paper released at the LME Regulation Seminar on 12 October 2015.
MaRS And TMX Group Announce FinTech Collaboration

Date 13/10/2015

MaRS Discovery District (“MaRS”) today announced a new collaborative relationship with TMX Group (“TMX”), an integrated exchange group with key subsidiaries operating cash and derivative markets across multiple asset classes including equities, fixed income and energy. Under the agreement, TMX is joining MaRS’ Financial Technology (“FinTech”) cluster to connect with leading startups currently developing financial services technology with a focus on big data, crypto currencies and capital markets.
ICE Clear Credit Launches Clearing For Western European Sovereign CDS - Sees 70% Increase In Single Name Buyside Clearing Year To Date

Date 13/10/2015

Intercontinental Exchange (NYSE: ICE), the leading global network of exchanges and clearing houses, introduced credit default swap (CDS) clearing for the following sovereign single names today: France, Germany and the United Kingdom.

Bursa Malaysia Sector Update

Date 13/10/2015

Bursa Malaysia Berhad (Bursa Malaysia) has decided to update the classification of sector for DPS Resources Berhad (“DPS”) to come into effect on 9.00 a.m., Monday, 19 October 2015.
Qatar Stock Exchange Holds Introductory Meeting To Discuss GWC Rights Issues

Date 13/10/2015

Qatar Stock Exchange (QSE) is pleased to invite brokers, journalists and all interested investors to attend the introductory meeting, which will be dedicated to discuss the rights issues of the Gulf Warehousing Company, which will start as of Sunday October 18th, 2015. The meeting will be held on Thursday, October 15th, 2015, at 1:30 PM, at the 2nd floor of QSE building.
Nigerian Stock Exchange Announces Financial Advisers For Demutualisation

Date 13/10/2015

The Nigerian Stock Exchange (NSE) is pleased to announce the appointment of the consortium of Rand Merchant Bank (RMB) and Chapel Hill Denham (CHD) as financial advisers on the proposed demutualisation of the Exchange.
InvestCloud Secures $45 Million Growth Equity Investment - Funding Led By FTV Capital Will Enhance Client Success While Expanding Global Footprint

Date 13/10/2015

InvestCloud, Inc, a provider of cloud-based front and middle-office solutions focused on digitizing customer experiences and internal operations for global investment advisors, today announced it has raised $45 million in growth equity funding. The round was led by FTV Capital and will be used to further invest in the company’s state-of-the-art platform and functionality, enhance customer service, and expand the company’s global footprint. Richard Garman, FTV Capital managing partner, has joined InvestCloud’s board of directors.
Hong Kong's Securities And Futures Commission Bans Chan Chi Yuen For 18 Months

Date 13/10/2015

The Securities and Futures Commission (SFC) has banned Mr Chan Chi Yuen from re-entering the industry for 18 months from 9 October 2015 to 8 April 2017 (Note 1).