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Tribunal Directs UK Financial Conduct Authority To Ban Former Insurance Broker

Date 16/04/2015

The Upper Tribunal (Tribunal) has directed the Financial Conduct Authority (FCA) to prohibit former insurance broker Stephen Robert Allen on the grounds that he is not a fit and proper person.
Interactive Data Selected To Provide Corporate Actions Data For TORA Prism In Award-Winning World-First Database

Date 16/04/2015

Interactive Data, a leading provider of independent evaluated fixed income pricing and reference data services, has been selected to provide an unprecedented range of corporate actions data for TORA Trading’s new Prism portfolio and risk management system. TORA Prism is a hosted and fully integrated portfolio management, risk and operations solution.
Taiwan Futures Exchange Monthly Newsletter- April 2015

Date 16/04/2015

Click here to download TAIFEX's April Newsletter.
The FMA Completes Memorandum Of Understanding With All NZ’s Dispute Resolution Schemes

Date 16/04/2015

The Financial Markets Authority (FMA) has recently signed Memorandums of Understanding (MOUs) with the Insurance Savings Ombudsman (ISO) and the Banking Ombudsman Scheme (BOS). This follows the completion of MOUs with the Financial Dispute Resolution Scheme (FDRS) and Financial Services Complaints Limited (FSCL) last year. The FMA and the dispute resolution schemes (DRS) already enjoy a cooperative relationship and these MOUs formalise and enhance that collaboration.
Shenzhen Stock Exchange Convenes Work Conference On Self-discipline Supervision Over Listed Companies

Date 16/04/2015

Shenzhen Stock Exchange recently convened a work conference on self-discipline supervision over listed companies, where relevant work under new situations was studied and deployed. The conference pointed out that the year of 2015 is crucial for deepening reforms in an all-round way with profound changes happening to the capital market from external environments to internal mechanism and new topics as well as new challenges confronting the self-discipline supervision work over listed companies. SZSE will focus its efforts on promoting regulatory transition, explore and build up a new supervision mechanism in the course and afterwards of information disclosure, and constantly improve the level of supervision under the rule of law, so as to earnestly implement the work deployment of the National Work Conference on Securities and Futures Regulation and the spirit of CSRC at the Communication Meeting on Supervision over Listed Companies on March 31.

TAIFEX Wins Financial Derivatives Exchange Of The Year At The Asian Banker Financial Markets Awards 2015

Date 16/04/2015

The Taiwan Futures Exchange (TAIFEX) announced today that it has won the Financial Derivatives Exchange of the Year at the Asian Banker (TAB) Financial Markets Awards, a landmark recognition program to benchmark institutional achievement and performance in the markets and exchanges landscape of the Asia Pacific region.
Thai Alternative Bourse To Enhance Listed Company’s Quality Toward Sustainability

Date 16/04/2015

Market for Alternative Investment (mai), under the Stock Exchange of Thailand (SET) group will launch a plan to enhance listed company’s quality toward sustainability, covering investor relations (IR) function, CG knowledge and sustainable development. In addition, mai has launched Corporate Sustainability Advisory Program by inviting five outstanding mai-listed companies in quality development to share their business direction and strategy.
Remarks At The Harvard Law School Symposium On Building the Financial System Of The 21st Century: An Agenda For Europe And The United States, SEC Commissioner Daniel M. Gallagher, Frankfurt, Germany

Date 16/04/2015

Thank you, Hal [Scott], for that kind introduction. I apologize for not being able to address you in person. Back in 2013, I opened a speech to the American Academy in Berlin with a bit of German. While I managed not to call myself a jelly donut, my German was nonetheless so bad that I have been banned from entering the country to speak in a public forum.
Virtu Financial Announces Pricing Of Initial Public Offering

Date 15/04/2015

Virtu Financial, Inc. ("Virtu Financial") (Nasdaq:VIRT), a technology enabled global market maker, announced today the pricing of its initial public offering of 16,532,272 shares of its Class A common stock at a price to the public of $19.00 per share. All of the shares are being offered by Virtu Financial. In addition, Virtu Financial has granted the underwriters a 30-day option to purchase up to an additional 2,479,841 shares of Class A common stock. The shares of Class A common stock are expected to begin trading on The NASDAQ Stock Market on April 16, 2015, under the symbol "VIRT."
CFTC Orders Tennessee-Based Commodity Pool Operator Hope Advisors LLC To Pay A $100,000 Civil Monetary Penalty For Registration And Reporting Violations

Date 15/04/2015

The U.S. Commodity Futures Trading Commission (CFTC) today entered an Order requiringHope Advisors LLC (HAL), a Brentwood, Tennessee, Commodity Pool Operator (CPO), to pay a $100,000 civil monetary penalty for acting as a CPO without registering with the CFTC, as required, and for providing monthly statements to pool participants that failed to show all the information required by Commission Regulation.