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SEC Names Marc Wyatt As Deputy Director Of National Exam Program

Date 20/10/2014

The Securities and Exchange Commission today announced that Marc Wyatt has been named Deputy Director of the agency's Office of Compliance Inspections and Examinations (OCIE).
Start Of Trading Of Shares Of The ‘SIA Corporate’ Real Estate Investment Fund On BM&FBOVESPA

Date 20/10/2014

The SIA Corporate Real Estate Investment Fund, aimed at qualified investors, begins trading its shares on BM&FBOVESPA on Monday, October 20, 2014. Its trading name will be FII SIA CORPand its ticker SAIC11B .
Trust Sentiment In Top Global Financial Institutions Remains Positive In Q3 2014 As Confidence in Asian Banks Continues To Climb - Thomson Reuters TRust Index Results – Third Quarter 2014

Date 20/10/2014

Thomson Reuters, the world's leading source of intelligent information for businesses and professionals, today announced the latest results of its proprietary TRust Index, showing that third-quarter 2014 trust sentiment in the top 50 global financial institutions remained positive, driven by Asia, where existing positive trust sentiment continued to climb.
Dubai Mercantile Exchange And Shanghai International Energy Exchange Corporation To Collaborate On Energy Products

Date 20/10/2014

The Shanghai International Energy Exchange Corporation (INE), a global energy exchange headquartered in China, and DME, the premier international energy futures and commodities exchange in the Middle East, today announced that they have signed a Memorandum of Understanding (MoU) to strengthen their cooperation in promoting the development of crude oil futures.
Speech By Federal Reserve Governor Daniel K. Tarullo At The Federal Reserve Bank Of New York Conference, "Reforming Culture And Behavior In The Financial Services Industry", New York, New York, October 20, 2014, Good Compliance, Not Mere Compliance

Date 20/10/2014

In the aftermath of the financial crisis, ongoing increases in capital buffers, reductions in funding vulnerabilities, improvements in risk management, and attention to orderly resolution are producing a substantially more resilient financial system. Yet even as the financial position of firms has been strengthened, headlines describing misconduct in financial firms have appeared with disturbing regularity. For a time, these stories were the legacy of pre-crisis errors and misdeeds, with a focus on the mortgages and mortgage-related products that lay at the heart of the crisis. But soon they were accompanied by allegations of post-crisis actions: rigging of LIBOR (London interbank offered rate) and foreign exchange rates, facilitation of tax evasion, inadequate controls on money laundering, and front running through dark pools, among others.

Options Group Announces The Hire Of Richard Stein, Partner, New York

Date 20/10/2014

Options Group, a leading global executive search firm, announces the hire of Richard Stein as Partner. He brings to Options Group his extensive global expertise in executive search, strategy, competitive intelligence and marketing.
Droit Appoints Industry Veterans In Derivatives Compliance Push - Former ISDA CEO Robert Pickel, FinTech Specialist Mark Beeston, And Former UBS Executive Seth Cohen Join Advisory Board

Date 20/10/2014

Droit Financial Technologies, a leading provider of pre-trade front office and post-trade compliance solutions for derivatives, has appointed three well-known industry leaders to a new advisory board. Former CEO of ISDA, Robert Pickel, financial technology investor Mark Beeston, and former UBS Group Managing Board member Seth Cohen, will join the Droit Advisory Board, effective immediately.
NICE Trading Recording Solution Receives Microsoft Lync Qualification - NICE Delivers The Industry’s First Dedicated Compliance Recording Platform For Both Trading Floor And Back Office Environments With Its Support For Microsoft Lync

Date 20/10/2014

NICE Systems (NASDAQ: NICE) today announced that the NICE Trading Recording solution has been qualified to support Microsoft Lync, Microsoft’s next generation unified communications software. The qualification ensures that financial institutions can now use the same reliable, secure and scalable recording platform used in their trading floors for the back office. NICE Trading Recording has the ability to capture all voice interactions across different channels, such as front-end, back office and mobile phones, to help ensure regulatory compliance.
ISE Announces KCG As New Primary Market Maker

Date 20/10/2014

ISE announced that KCG Americas, LLC will serve as the Primary Market Maker (PMM) for options products in Bin 5, effective today, October 20, 2014.
Hong Kong's Securities And Futures Commission Suspends Ho Siu Po For Seven Months

Date 20/10/2014

The Securities and Futures Commission (SFC) has suspended the licence of Mr Ho Siu Po for seven months from 16 October 2014 to 15 May 2015 (Note 1).