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Liquidnet Fixed Income Surpasses $1 Billion Traded - Milestone Achieved Five Months After The Dark Pool Platform’s Launch

Date 15/03/2016

Liquidnet, the global institutional trading network, today announced that their Fixed Income dark pool has exceeded $1B of volume traded, after just five months. Designed to provide a seamless solution for buy-side corporate bond traders, Liquidnet’s Fixed Income solution delivers a protected venue where they can trade natural liquidity in size, both safely and efficiently.
Finansinspektionen - Swedish Financial Supervisory Authority - Increases Resilience In The Financial System

Date 15/03/2016

FI’s Board of Directors has decided to raise the countercyclical capital buffer to 2 per cent as of 19 March 2017.
TMX Group: The MiG Report February 2016

Date 15/03/2016

Please click here for the February 2016 MiG Report.
UK's Financial Conduct Authority: Former Equities Trader Pleads Guilty To Insider Dealing

Date 15/03/2016

Damian Clarke, a former equities trader at Schroders Investment Management Limited, pleaded guilty at Southwark Crown Court to nine counts of insider trading. He will be sentenced on 13 June 2016.
SEC: Municipal Advisor Charged For Failing To Disclose Conflict - Case Is First Under Dodd-Frank Provision Creating Fiduciary Duty

Date 15/03/2016

The Securities and Exchange Commission today charged Kansas-based Central States Capital Markets, its CEO, and two employees for breaching their fiduciary duty by failing to disclose a conflict of interest to a municipal client. The case is the SEC’s first to enforce the fiduciary duty for municipal advisors created by the 2010 Dodd-Frank Act, which requires these advisors to put their municipal clients’ interests ahead of their own.

FINRA Reports On Effective Practices For Digital Investment Advice

Date 15/03/2016

Financial services firms' offerings of digital investment advice need sound governance and supervision, including effective means of overseeing suitability of recommendations, conflicts of interest, customer risk profiles and portfolio rebalancing, according to a new report from the Financial Industry Regulatory Authority (FINRA). The report also outlines lessons for investors and says training and education are crucial for financial professionals who use digital investment advice tools.
Volcker Rule CEO Attestation Delivery Method Announced

Date 15/03/2016

The Division of Swap Dealer and Intermediary Oversight of the Commodity Futures Trading Commission (CFTC) today announced that certain banking entities subject to Appendix B of Part 75 of the Commission’s regulations should submit their CEO attestations through the following email address:VolckerAttestation@cftc.gov .
Neurensic And Catelas Deliver Integrated Holistic Surveillance Offering

Date 15/03/2016

Catelas®, the leading provider of ‘eComms Surveillance’ solutions, and Neurensic, a funded startup with artificial intelligence-powered compliance tools, announced at SIFMA's Compliance & Legal Society 48th Annual Seminar and FIA’s Inte rnatio nal Futures Industry Conference (Boca) a new partnership to deliver an integrated holistic surveillance solution for asset managers, hedge funds, broker-dealers, exchanges, and regulators.
Kinetix Secures Legal Approval For US/EU Regulatory Engine

Date 15/03/2016

Kinetix Trading Solutions, a Compliance and Trade Management solutions provider to capital markets firms, has secured legal approval for its Rules Engine for the EMIR and Dodd-Frank Act regulatory frameworks. Importantly, this allows derivatives market participants to ensure that their trades can be validated with confidence in advance of the mandatory European clearing deadlines that go into effect this June.
UK's Financial Conduct Authority: Phillip Boakes Sentenced For Failing To Pay Confiscation Order

Date 15/03/2016

Today, Phillip Boakes was sentenced to 730 days’ imprisonment for failing to satisfy the full value of a confiscation order made against him.