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  • SEC, FINRA Launch New Initiative To Assist Chief Compliance Officers At Broker-Dealer Firms

    Date 30/10/2007

    The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced a new initiative to further promote strong compliance practices at broker-dealer firms for the protection of investors. Similar to the SEC's ongoing CCOutreach Program for investment advisers and investment company chief compliance officers, the CCOutreach BD program will help broker-dealer chief compliance officers (CCOs) ensure effective communication about compliance risks

  • Euroclear To Make Senior Management Changes

    Date 30/10/2007

    Euroclear SA/NV announces today that Wim Claeys will be promoted to Executive Director and become a member of the Management Committee. In addition, Robert Urtheil will become Managing Director and Head of Corporate Strategy & Public Affairs for the Euroclear group, replacing Anso Thiré, who will become head of the new Global Capital Markets division, effective 15 November.

  • MGEX To Hold Membership Open House In Minneapolis

    Date 30/10/2007

    With the recent, dramatic upswings in wheat prices and the steadily rising value of membership at the Minneapolis Grain Exchange (MGEX or Exchange), public interest in the Exchange has grown. In response, the MGEX is hosting an open house on its historic trading floor for anyone interested in learning more about membership in the Exchange, futures and options trading or leasing office space.

  • FINRA Fines Oppenheimer $1 Million To Settle Charges That It Produced Flawed, Incomplete And Untimely Data In Breakpoint Self-Assessment - Submission Of Data The Firm Knew To Be Flawed Among Key Findings

    Date 30/10/2007

    The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Oppenheimer & Co. Inc. $1 million for submitting mutual fund breakpoint data to FINRA that the firm knew to be inaccurate, as well as for related supervisory deficiencies. FINRA also ordered the firm to engage an independent consultant to evaluate its policies, systems and procedures for responding to information requests from regulators.

  • FESE Welcomes CESR’s New Arrangements Facilitating Full Implementation Of Transaction Reporting Under MiFID

    Date 30/10/2007

    FESE welcomes CESR’s decision to adopt two new arrangements facilitating full implementation of transaction reporting mandated by MiFID Article 251. Allowing the markets the flexibility to use either one of two methods for identifying derivative instruments will avoid significant costs to the exchange industry, banks and users of capital markets.

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