News Centre

SEC To Hold National Compliance Outreach Seminar For Investment Companies And Investment Advisers

Date 13/02/2018

The Securities and Exchange Commission today announced the opening of registration for its compliance outreach program’s national seminar for investment companies and investment advisers.  The event is intended to help Chief Compliance Officers (CCOs) and other senior personnel at investment companies and investment advisory firms to enhance their compliance programs for the protection of investors.

Alberto Arevalo, Associate Director In The Office Of International Affairs, To Retire From SEC

Date 13/02/2018

The Securities and Exchange Commission today announced that Alberto Arevalo, an associate director in the Office of International Affairs, will retire later this month after 28 years of public service.

OneChicago: Presidents’ Day Holiday Trading Hours

Date 13/02/2018

OneChicago, LLC (“OneChicago”) will be closed on Monday, February 19, 2018 in observance of the upcoming Presidents’ Day Holiday, which is consistent with U.S. equity markets. OneChicago will be open on Tuesday, February 20, 2018.

FINRA Foundation Announces New Appointments To Board Of Directors - Foundation Unveils New Website For Mobile Optimization And Enhanced User Experience

Date 13/02/2018

The FINRA Investor Education Foundation (FINRA Foundation) today announced the appointment of three new members to its Board of Directors:

• Mari J. Buechner, President and Chief Executive Officer, Coordinated Capital Securities, Inc.;
• Laura Fisher, Senior Vice President, VOX Global; and
• John W. Thiel, former Vice Chairman of Global Wealth and Investment Management, Bank of America.

Nasdaq CFO Michael Ptasznik To Present At Credit Suisse Financial Services Forum

Date 13/02/2018

Who:               
Nasdaq CFO Michael Ptasznik
                        
What:              
Credit Suisse 19th Annual Financial Services Forum

When:             
Wednesday, February 14, 2018
11:20 AM ET
                        
Where:            
Ritz-Carlton Key Biscayne
455 Grand Bay Drive
Key Biscayne, FL 33149

Mr. Ptasznik’s presentation will be webcast at Nasdaq’s Investor Relations Website: ir.nasdaq.com/events.cfm

DIFC Chosen As Berkshire Hathaway’s Hub For Middle East Region

Date 13/02/2018

• DIFC’s integrated ecosystem and its strategic location continue to attract market leaders
• BHSI office at DIFC to act as Middle East hub
• Regional insurance sector achieving rapid growth in the MEASA region from DIFC

United Kingdom Parliament Treasury Committee Update: Chair Confirms That Committee Has Used Parliamentary Powers To Order RBS-GRG Report

Date 13/02/2018

On Wednesday 7 February, the Treasury Committee set the Financial Conduct Authority (FCA) the deadline of 16 February 2018 to publish the skilled persons’ report (Section 166) into RBS’ treatment of small business customers in its Global Restructuring Group (GRG). 

Vela Wins Best DMA Offering at 2018 Fund Technology And WSL Awards - Recognized For Delivering A High Performance, Low Latency, Fully-Normalized Infrastructure For Accessing Global Liquidity

Date 13/02/2018

Vela, a leading provider of trading and market access technology, announced that it has won the category for Best Direct Market Access (DMA) Offering in the 2018 Fund Technology and WSL Awards. The awards were presented during a ceremony at the Yale Club in New York last week.

Remarks At The Ceremonial Swearing-In - Federal Reserve Chairman Jerome H. Powell At The Federal Reserve Board, Washington, D.C.

Date 13/02/2018

It is both humbling and a great privilege to be standing here today.1 I am particularly honored by the trust and faith that the President has placed in me and by the Senate's quick action in confirming me. There is no greater honor than public service, as Randy, Lael and all of our colleagues here at the Fed would agree.

U.S. Department Of The Treasury Under Secretary Sigal Mandelker Speech Before The Securities Industry And Financial Markets Association Anti-Money Laundering & Financial Crimes Conference

Date 13/02/2018

Introduction

Thank you for the introduction.  It’s terrific to be back in New York City and with friends and former colleagues. 

As Under Secretary of Treasury’s Office of Terrorism and Financial Intelligence (TFI) I have the honor of leading a group of incredibly dedicated professionals.  TFI includes approximately 700 of the best and brightest minds in the world at following the money, protecting the United States financial system from illicit actors, and countering some of the greatest national security threats of our time.