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FINRA Decision Bars James Van Doren For Unethical Conduct; Registered Representative Engaged In Money Laundering And Assisted Friend In Deceiving Creditors

Date 25/04/2016

The Financial Industry Regulatory Authority (FINRA) announced today a decision barring James Van Doren from the securities industry for unethical conduct involving money laundering and a scheme to deceive a friend's creditors and facilitate violations of law, including conspiracy to commit bankruptcy fraud. The ruling resolves charges brought by FINRA's Department of Enforcement in October 2014 and in its amended complaint.
UK Quest For Beneficial Ownership Gets Easier With Help From Alacra

Date 25/04/2016

Regulatory SaaS technology leader Opus announced today that Alacra, its Know Your Customer (KYC) and reference data platform, has integrated the beta version of the UK Companies House API into Alacra Compliance Enterprise (ACE). ACE, Alacra’s flagship KYC and onboarding service, leverages the new Companies House API to streamline the acquisition of due diligence documents for UK-domiciled firms.
UK Quest For Beneficial Ownership Gets Easier With Help From Alacra

Date 25/04/2016

Regulatory SaaS technology leader Opus announced today that Alacra, its Know Your Customer (KYC) and reference data platform, has integrated the beta version of the UK Companies House API into Alacra Compliance Enterprise (ACE). ACE, Alacra’s flagship KYC and onboarding service, leverages the new Companies House API to streamline the acquisition of due diligence documents for UK-domiciled firms.
Europex Response To ACER Consultation On The Functioning And Usefulness Of The Centralised European Register Of Energy Market Participants (CEREMP)

Date 25/04/2016

The Europex response has two main aspects:
New Data On OTC Equity Trading Now Available, FINRA Announces - Additional Transparency Covers About 20% Of All Trading In National Market System Equities

Date 25/04/2016

The Financial Industry Regulatory Authority (FINRA) today announced that expanded data on over-the-counter (OTC) trading in equity securities is now live, extending FINRA's trading-volume transparency to all of the OTC market.

Asia Economic Slowdown And Cyber Risk Top List Of Financial Industry Concerns In New DTCC Survey - Cyber Risk Still The No. 1 Concern, But Macroeconomic Threats On The Rise

Date 25/04/2016

An economic slowdown in Asia was listed by 22% of respondents of a recent survey conducted by The Depository Trust & Clearing Corporation (DTCC) as the biggest systemic risk to the broader economy – a dramatic change from just one year ago when only 1% of respondents ranked an economic downturn outside of the E.U./U.S. as the biggest risk.
SimCorp Appoints Thorvaldur Flemming Jensen Head Of ASP Division

Date 25/04/2016

SimCorp, a leading provider of investment management solutions and services for the global financial services industry, today announced that it has appointed Thorvaldur Flemming Jensen head of its Application Service Provider (ASP) Division and member of the company’s executive management team, reporting directly to the CEO.
TradingScreen Wins WatersTechnology Best Sell-Side Technology Award - Sell-Side Technology Award For Best OTC Initiative

Date 25/04/2016

TradingScreen, the leading independent provider of liquidity, trading, and investment technology via SaaS, has won the WatersTechnology Sell-Side Technology Award for Best Sell-Side OTC Trading Initiative.
TSX NAVex Prepares For Launch - Toronto Stock Exchange's New Mutual Fund Platform Opens For Client Testing Ahead Of June Launch

Date 25/04/2016

Toronto Stock Exchange (TSX) today announced that its new centralized mutual fund solution, TSX NAVex, has entered the client testing phase. Participating Organizations of TSX can now connect to the TSX NAVex platform in a test environment in preparation for full launch, scheduled for June 2016, subject to industry readiness.
SGX Partners China Construction Bank To Promote Singapore’s Capital Markets

Date 25/04/2016

Singapore Exchange (SGX) and China Construction Bank (CCB) today signed a memorandum of understanding (MOU) to promote Singapore’s capital markets to Chinese companies.