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Date 23/10/2014
UK's Financial Conduct Authority Publishes Decision Notice Against Paul Reynolds Deciding To Ban Him And Fine Him £290,344
The Financial Conduct Authority (FCA) has today published a Decision Notice against Paul Reynolds (formerly known as Paul Brian Reynolds).
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Date 23/10/2014
TriOptima’s triResolve Service Solves The Unmatched Trade Repository Data Problem Challenging Reporting Institutions
TriOptima, leading provider of OTC derivative post trade risk services, announces that its triResolve service for portfolio reconciliation offers a solution to the unmatched trade problem reporting institutions are facing in European trade repositories.
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Date 23/10/2014
Neonet Partners With Commcise For Commission Management Solution
Neonet Securities, the independent agency broker and execution specialist, today announced that it has partnered with Commcise, the independent buy-side investment technology vendor, to broaden its service offering within commission management.
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Date 23/10/2014
Australia Top-Three Most Expensive Market In The World For Clearing - An Industry-Funded Report By Independent Research House Market Structure Partners Shows That Australia Is Amongst The World’s Most Expensive Developed Markets To Clear Equities, And Suggests That The Risk Management Model In Australia Is Unusual When Compared To Other Global Markets And Merits Further Examination
A research report commissioned by a group of clearing participants including Pershing, Citi, Deutsche Bank, Credit Suisse, Morgan Stanley and Bank of America Merrill Lynch has found Australia to be one of the world’s most expensive developed markets to clear and settle equities.
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Date 23/10/2014
KVH To Offer Private Network Service To IBM SoftLayer Cloud Environments
KVH Co. Ltd., Asia’s leading information delivery platform headquartered in Tokyo, Japan, today announced a new service called "KVH etherXEN for SoftLayer" that provides customers a dedicated Ethernet network connection from their own IT infrastructure and data centers to IBM’s SoftLayer cloud services. With faster and more consistent network performance, KVH etherXEN for SoftLayer is a guaranteed private network that brings enterprise customers new opportunities for creating hybrid-computing solutions that merge private infrastructure with SoftLayer’s cloud environments on dedicated bare metal servers. This service will be available in December 2014.
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Date 23/10/2014
New Zealand's Financial Markets Authority Warns Consumers About Cold-Calling Investment Offers And ‘Big Win’ Scams
The Financial Markets Authority (FMA) is warning New Zealand consumers and investors to be wary of cold-calls asking them to buy shares or put their money into offshore firms.
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Date 22/10/2014
Skin In The Game: Aligning The Interests Of Sponsors And Investors, SEC Commissioner Luis A. Aguilar
Today, the Commission considers Congressionally-mandated, multi-agency credit risk retention rules that are intended to address a glaring flaw of the asset-backed securities (ABS) market revealed by the financial crisis: the misalignment of interests between the ABS securitizer and the ABS investor.
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Date 22/10/2014
Six Federal Agencies Jointly Approve Final Risk Retention Rule
Six federal agencies approved a final rule requiring sponsors of securitization transactions to retain risk in those transactions. The final rule implements the risk retention requirements in the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).
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Date 22/10/2014
CFTC Swaps Report Update
The CFTC Swaps Report provides a detailed weekly snapshot of the gross notional outstanding as of the penultimate Friday prior to the CFTC Swaps Report’s Wednesday publication date, as well as a detailed weekly total of the transaction volume (on both a ticket volume and dollar volume basis) ending that same penultimate Friday, in two asset classes (interest rate swaps, credit default swaps).
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Date 22/10/2014
Federal Court Orders Boston Resident John B. Wilson And His Company, JBW Capital LLC, To Pay A Civil Penalty Of More Than $2.8 Million For Commodity Pool Fraud
The U.S. Commodity Futures Trading Commission (CFTC) today announced that the Honorable Richard G. Stearns of the U.S. District Court for the District of Massachusetts entered a Final Judgment against Defendants John B. Wilson and his company,JBW Capital LLC (JBW) (collectively, the Defendants), both of Boston, Massachusetts, for fraud and registration violations of the Commodity Exchange Act (CEA). The court’s Final Judgment orders the Defendants, jointly and severally, to pay a $2.86 million civil penalty; it permanently enjoins the Defendants from further violations of the CEA, as charged; and it imposes permanent trading and registration bans on the Defendants.
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