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SEC Announces Enforcement Initiatives To Combat Cyber-Based Threats And Protect Retail Investors

Date 26/09/2017

The Securities and Exchange Commission today announced two new initiatives that will build on its Enforcement Division’s ongoing efforts to address cyber-based threats and protect retail investors. The creation of a Cyber Unit that will focus on targeting cyber-related misconduct and the establishment of a retail strategy task force that will implement initiatives that directly affect retail investors reflect SEC Chairman Jay Clayton’s priorities in these important areas.
Thomson Reuters Boosts Quantification Of Corporate News With NEWSFUL App In Eikon - NEWSFUL, From Sigma News Ventures, Models And Explains The Link Between Corporate News And Share Price Change To Give Market Professionals A New Edge

Date 25/09/2017

Thomson Reuters has enhanced its news processing capabilities with the addition of NEWSFUL, an app that gives the buy and sell side new intelligence on what business events are driving share price change. Newsful is available via App Studio on Eikon, Thomson Reuters flagship desktop product.
CFTC’s Division Of Market Oversight Extends Existing Relief And Provides Additional Relief For Reporting Parties From Reporting Obligations As Required By The OCR Final Rule

Date 25/09/2017

The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (DMO) today issued a no-action letter (CFTC Staff Letter 17-45) that extends current relief and provides additional relief to reporting parties from reporting obligations as required by the ownership and control reports (OCR) final rule (OCR Final Rule).
FINRA Sanctions Morgan Stanley $13 Million In Fines And Restitution For Failing To Supervise Sales Of UITs

Date 25/09/2017

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Morgan Stanley Smith Barney LLC $3.25 million and required the firm to pay approximately $9.78 million in restitution to more than 3,000 affected customers for failing to supervise its representatives’ short-term trades of unit investment trusts (UITs).
FastMatch Launches FX Tape - Global Consolidated Tape For FX Spot Market To Improve Transparency For Investors

Date 25/09/2017

FastMatch, Inc., the fastest growing FX spot market operator, which operates as a Euronext company since August 2017, announced today the launch of FX Tape. This new and innovative market data product will improve post-trade transparency in FX markets and allow market participants to monetize their trading data. FX Tape will also serve as a central reference point for Spot FX transacted prices helping market participants evaluate best execution performance.

MARF Registers A Bond Issue By Grupo BATLE - With A Value Of €30 Million, A Term Of 7 Years And A 4% Coupon

Date 25/09/2017

The Mercado Alternativo de Renta Fija (MARF) has registered a bond issue by Cadena Mar -Group Batle- aimed at financing the construction of two new hotel complexes which the company will develop in Playa Mujeres, Cancún (Mexico), as part of the company’s international expansion plan that it is carrying out in the Caribbean area.
EEX New Participant: MND a.s.

Date 25/09/2017

MND a.s. has been admitted to exchange trading for Phelix Futures/Options, Nordic Financial Power Futures/Options, French Financial Power Futures/Options, Italian Financial Power Futures/Options, Spanish Financial Power Futures/Options, Swiss Financial Power Futures, Belgian Financial Power Futures, Dutch Financial Power Futures, Greek Financial Power Futures, PXE Romanian Financial Power Futures, PXE Polish Financial Power Futures, PXE Slovakian Financial Power Futures, PXE Hungarian Financial Power Futures, PXE Czech Financial Power Futures.
Borsa Istanbul: Periodic Review For The BIST-KYD Corporate Eurobond Indices For The Period October 2017 Has Been Finalized

Date 25/09/2017

In accordance with the article 3.3. of BIST-KYD Indices Ground Rules, periodic review for the BIST-KYD Corporate Eurobond Indices for the period October 2017 (October 2, 2017–October 31, 2017) has been finalized. There is not any Eurobond to be included in or excluded from the BIST-KYD Corporate Eurobond USD and BIST-KYD Corporate Eurobond USD (TRY) Indices and they will continue to be calculated with the same list of constituents in the period October 2017.
CFTC Orders Citibank, N.A. And London-Based Citigroup Global Markets Limited To Pay A $550,000 Penalty For Swap Data Reporting Violations Involving Legal Entity Identifier Information And Related Supervision Failures

Date 25/09/2017

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Citibank, N.A. (CBNA) and Citigroup Global Markets Limited (CGML) (collectively, Citi), for failing to report Legal Entity Identifier (LEI) information for swap transactions properly to a Swap Data Repository (SDR), failing to establish the electronic systems and procedures necessary to do so, failing to correct errors in LEI data previously reported to an SDR, and failing to perform supervisory duties diligently with respect to LEI swap data reporting, all in violation of CFTC Regulations.
OASIS Investment Strategies Broadens Services To Meet Cash, Collateral And Margin Management Needs Of All Types Of Financial Institutions

Date 25/09/2017

Chicago-based OASIS Investment Strategies, LLC, the cash management affiliate of R.J. O’Brien & Associates (RJO), announced today that it has now opened its global cash, collateral and margin management service to all types of financial institutions with excess cash on deposit.