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ASIC Bans Former Macquarie Adviser Sarah Kate Gardner

Date 24/08/2016

ASIC has banned Sarah Kate Gardner, of Mooloolaba, Queensland, from providing financial services for one year.
Hong Kong's Securities And Futures Commission Reprimands And Fines Morgan Stanley Hong Kong Securities Limited $18.5 Million Over Internal Control Failures

Date 24/08/2016

The Securities and Futures Commission (SFC) has resolved its concerns with Morgan Stanley Hong Kong Securities Limited (MSHK) over its internal control failures. Under the resolution, the SFC reprimanded and fined MSHK $18.5 million for breaches of the Code of Conduct.
ASIC: Macquarie Investment Management Penalised Over Corporations Act Contraventions

Date 24/08/2016

The Supreme Court of New South Wales has found that Macquarie Investment Management Ltd (MIML) contravened the Corporations Act by failing to comply with its duties as a responsible entity of the van Eyk Blueprint International Shares Fund (VBI Fund). The Court made declarations of contravention and ordered that MIML pay a civil pecuniary penalty of $400,000, as well as $200,000 for ASIC's legal costs.
Budo’s Agricultural Options On Futures Trading Group Signs With Rival Systems For Electronic Market Making

Date 24/08/2016

Chicago-based Rival Systems (Rival), a trading software company established last year, today announced an Agricultural Options Trading desk within Budo Group has selected Rival Traderfor its electronic market-making and trading activities. Veteran trader Rod Valeroso said the move to adopt the derivatives front-end platform followed an extensive search to find an advanced platform with optimal speed and features, as well as robust analytics and strong support.
Utility Settlement Coin Concept On Blockchain Gathers Pace - BNY Mellon, Deutsche Bank, ICAP And Santander Join UBS And Clearmatics To Advance The Utility Settlement Coin Concept, And Plan Tests In A Real-Market Environment

Date 24/08/2016

USC is a digital cash model aimed at facilitating payment and settlement for institutional financial markets. The group will collectively build on the successful outcome of initial explorations of the Utility Settlement Coin (USC) concept, performed by UBS and Clearmatics.

Abu Dhabi Global Market Signs Agreement With The Securities And Exchange Board Of India

Date 24/08/2016

The Financial Services Regulatory Authority (FSRA) of the Abu Dhabi Global Market (ADGM) and the Securities and Exchange Board of India (SEBI) today signed a Memorandum of Understanding (MoU) to enhance regulatory cooperation and facilitate cross- border activities.
BNP Paribas Investment Partners Strengthens Indexed Fund And ETF Business In Europe With Senior Business Development Appointment

Date 24/08/2016

BNP Paribas Investment Partners announces the appointment of Claus Hecher as Head of Business Development for Germany, Austria and the German-speaking regions of Switzerland, as it continues to strengthen its indexed fund and ETF business in Europe.
TeleWare And Linx Networks Announce New Strategic Partnership - Enhanced Product Offerings To Financial Services In Response To Compliance Challenges

Date 24/08/2016

Communications technology business TeleWare has today announced a new partnership with Linx Networks, a leading City of London based banking and financial IT specialist. The partnership will enable Linx Networks to offer TeleWare’s mobile call recording solution alongside its existing suite of compliance solutions. Users of the Linx Networks and TeleWare solution benefit from the ability to make and receive calls on their mobile that are fully compliant with FCA regulations.
Deutsche Boerse Group: STOXX Changes Composition Of Benchmark Indices

Date 24/08/2016

STOXX Ltd., the operator of Deutsche Boerse Group’s index business, and a global provider of innovative and tradable index concepts, today announced the new composition of STOXX Benchmarks and their sub and sector indices, among them the STOXX Europe 600 Index, STOXX North America 600 Index and STOXX Asia/Pacific 600 Index.
Hugo Jenkins And John Barker Join Ancoa Advisory Board - Bringing Undisputed Industry Pedigree And Insight To Ancoa’s Executive Team

Date 24/08/2016

Ancoa, provider of contextual surveillance and insightful analytics for exchanges, regulators and buy- & sell-side firms, today announced the appointments of Hugo Jenkins and John Barker to its Advisory Board. The addition of Hugo and John will strengthen Ancoa’s existing Management team.