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FINRA Fines Brown Brothers Harriman A Record $8 Million For Substantial Anti-Money Laundering Compliance Failures - Highest Fine Levied By FINRA For AML-Related Violations - Former AML Compliance Officer Also Fined And Suspended

Date 05/02/2014

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined New York-based Brown Brothers Harriman & Co. (BBH) $8 million for substantial anti-money laundering compliance failures including, among other related violations, its failure to have an adequate anti-money laundering program in place to monitor and detect suspicious penny stock transactions. BBH also failed to sufficiently investigate potentially suspicious penny stock activity brought to the firm's attention and did not fulfill its Suspicious Activity Report (SAR) filing requirements. In addition, BBH did not have an adequate supervisory system to prevent the distribution of unregistered securities. BBH's former Global AML Compliance Officer Harold Crawford was also fined $25,000 and suspended for one month.
CFTC Issues Order Of Registration For NZX Limited

Date 05/02/2014

The U.S. Commodity Futures Trading Commission (Commission or CFTC) issued NZX Limited (NZX) an Order of Registration to permit NZX to provide direct access, subject to the terms and conditions specified in the Order, to its identified members or other participants located in the U.S.
Non Jordanian Investment At The Amman Stock Exchange During January 2014

Date 05/02/2014

The total value of shares that were bought by non-Jordanian investors during January 2014 was JD37.7 million, representing 12.2% of the overall trading value, while the value of shares sold by them amounted to JD41.8 million. As a result, the net of non-Jordanian investment during January 2014 showed a decrease by JD4.1 million, compared with an increase by JD7.0 million during the same month of 2013.
OneChicago Holiday Notice – Washington’s Birthday 2014

Date 05/02/2014

OneChicago (OCX) will be closed on Monday, February 17, 2014 in observance of the upcoming Holiday, Washington’s Birthday, which is consistent with U.S. equity markets. OneChicago will be open on Tuesday, February 18, 2014.
BME Presents The Book “Active Management Of Fixed Income Portfolios: A Practical Approach” Published As Part Of Its Estudios & Investigación Collection

Date 05/02/2014

BME presented yesterday the book "Active management of Fixed Income portfolios: a practical approach", published as part of his collection "Estudios & Investigación". The book is aimed at professionals in portfolio management but is also geared to a wider public interested in gaining insight into the theoretical and practical aspects of Fixed Income management.

Signing Of Cooperation Agreement Between Helex Group And Sibiu Stock Exchang

Date 05/02/2014

On the occasion of the signing of the cooperation agreement between the HELEX Group and the SIBEX Exchange of Romania, an event was held today, February 5th, 2014 at the Hellenic Exchanges Group Headquarters. During this event, the Chairman of the Board of SIBEX, Mr. Ovidiu Galatanu, declared the start of the trading session by ringing the traditional opening bell.
BATS Global Markets Announces Combined Executive Team - Chris Isaacson Named EVP, Global CIO - Bryan Harkins Named EVP, Head Of U.S. Markets

Date 05/02/2014

BATS Global Markets, Inc. (BATS) today announced its combined executive team, effective with the January 31st close of the company’s merger with Direct Edge Holdings.
Palestine Exchange Monthly Investor Newsletter - January 2014

Date 05/02/2014

Click here to the download the January 2014 edition of the PEX Monthly Investor Newsletter.
Eze Software Group Caps Milestone Year With Global Expansion And Client Growth - Record Global Sales, Expansion Across Global Markets, And Key Platform Integration In 2013 Highlight Groundbreaking Year For Eze Software

Date 05/02/2014

Eze Software Group, a premier provider of global investment technology, today announced that it has experienced record growth for each of its three integrated, award-winning product lines in the first year of operations under the Eze Software brand.
Fidessa Explores Rise Of Futures Algos

Date 05/02/2014

Fidessa group plc (LSE: FDSA) today announced it has secured the global distribution rights to new research from TABB Group, “Algos in Futures Markets: Shifting into High Gear.” The report examines the rise of the futures algo – touring the existing landscape and highlighting trends – against the backdrop of the increasing use of automated trading strategies across derivatives markets.