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FINRA Fines Citigroup Global Markets Inc. $1.85 Million And Orders Restitution Of $638,000 For Best Execution And Supervisory Violations In Non-Convertible Preferred Securities Transactions

Date 26/08/2014

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Citigroup Global Markets Inc. $1.85 million for failing to provide best execution in approximately 22,000 customer transactions involving non-convertible preferred securities, and for related supervisory deficiencies for more than three years. FINRA also ordered Citigroup to pay more than $638,000 in restitution, plus interest, to affected customers.
Cairo Amman Bank: Jordan Capital Market Development - Account Segregation Requirements

Date 26/08/2014

The Jordan Securities Commission affirmed in a circular sent out to brokerage firms last week the need to abide by account segregation requirements as per regulations issued in April 2014. The regulations call for the separation of brokerage firms funds from those of their clients.
Xignite CEO To Join FinTech Industry Executives On Panel To Discuss API’s

Date 26/08/2014

Stephane Dubois, Founder and CEO of Xignite, the leading provider of cloud-based financial market data, will be speaking at the September FinTech Startups Meetup on September 3,2014, in New York.
ASIC Lodges Second Submission To The 2014 Financial System Inquiry

Date 26/08/2014

ASIC has released its second submission to the 2014 Financial System Inquiry (Murray Inquiry).
Malaysia’s PM Launches Securities Commission Malaysia Book On Capital Market Development

Date 26/08/2014

The capital market will take on a more significant role in financing economic growth, with the aim of transforming Malaysia into a strong and vibrant economy that will function as a strategic regional hub, said Prime Minister Dato’ Sri Najib Tun Razak in his foreword to Securities Commission’s newly launched book, titled Capital Market Development in Malaysia: Growth, Competitiveness and Resilience.

Thai Bourse: 119 Listed Companies Pay THB 97.38 Bln In Combined Interim Dividends For H1/2014

Date 26/08/2014

A total of 119 companies listed on The Stock Exchange of Thailand (SET) and Market for Alternative Investment (mai) have announced interim dividend payment of a combined THB 97.38 billion (approx. USD 3.04 billion) for the first half of 2014.
Roger Tsui Chi Fung Banned For Providing False Information To Hong Kong's Securities And Futures Commission

Date 26/08/2014

The Securities and Futures Commission (SFC) has banned Mr Roger Tsui Chi Fung, a former licensed representative, from re-entering the industry for nine months from 15 August 2014 to 14 May 2015.
Thai Bourse Holds The 11th Mutual Fund Fair On August 29-30

Date 26/08/2014

The Stock Exchange of Thailand (SET), together with Association of Investment Management Companies (AIMC) and 15 asset management firms, will address mutual fund investment for novice investors via “Mutual Fund Fair” event, under the concept “Simple start, Easy trade”, for retail investors during August 29-30 at SET’s main event hall.
ESMA Announces New CWG For Secondary Markets SC

Date 26/08/2014

Following the call for interest for the renewal of the Consultative Working Group for the Secondary Markets Standing Committee, ESMA today announces the composition of the new group.
Taiwan Stock Exchange Completes Rollout Of Second Generation FAST System - Access To Taiwan Market Now Faster And More Convenient

Date 26/08/2014

Taiwan Stock Exchange (TWSE) has successfully rolled out its second generation FAST (Fully Automated Securities Trading) system, replacing all existing trading platforms. The new proprietary system boosts TWSE’s trading capacity by three times, reduces latency by seventeen times and doubles system efficiency. It greatly enhances the capability of the Taiwan capital market in preparation for the adoption of continuous trading in 2015.