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Cobalt DL Secures LMRKTS As Multi-Lateral Compression Partner On Their New BlueSky Service - Cobalt DL Launches BlueSky, Enabling Third Party Providers To Offer Complementary Services From Its Reconciled Data

Date 06/04/2017

Cobalt DL (Cobalt), the FX post-trade processing network based on distributed ledger technology, today announced a partnership with LMRKTS, who will be the first firm to offer services on its revolutionary BlueSky service, the shared ledger component of Cobalt’s platform.
Neptune Continues Expansion With Integration Into FlexTrade’s Buy-Side EMS Platform - The Fixed Income Market Network Is Now Connected To Its Latest OMS/EMS Provider To Offer The Buy-Side Greater Access To Liquidity Through Best-Of-Breed Price Discovery Tools

Date 06/04/2017

Neptune Networks Ltd., the fixed income market network for pre-trade indications in bonds, today announced that it has completed connectivity to FlexTrade’s buy-side EMS platform, FlexTRADER, to distribute high quality, pre-trade data to assist investors with liquidity and price discovery within existing workflows.
Hong Kong's Securities And Futures Commission: MMT Sanctions Mayer Holdings Limited And Its Current And Former Senior Management For Late Disclosure Of Inside Information

Date 06/04/2017

The Market Misconduct Tribunal (MMT) today fined Mayer Holdings Limited (Mayer) and nine of its current and former senior executives a total of $10.2 million after they were found to have failed to disclose inside information as soon as reasonably practicable as required under the Securities and Futures Ordinance (SFO).
Moscow Exchange: Non-Bank Companies Make First Ever FX Trades Through Direct Market Access

Date 06/04/2017

Rosneft and Alrosa have become the first ever corporates to obtain direct market access (DMA) and trade on Moscow Exchange's FX Market.
Hong Kong's Securities And Futures Commission Reprimands And Fines Guoyuan Securities Brokerage (Hong Kong) Limited $4.5 Million For Breaches Of Anti-Money Laundering Guidelines

Date 06/04/2017

The Securities and Futures Commission (SFC) has reprimanded Guoyuan Securities Brokerage (Hong Kong) Limited (Guoyuan) and fined it $4.5 million for its failure to conduct proper enquiries and scrutiny to mitigate the risks of money laundering and terrorist financing when processing third party fund transfers for clients between September 2010 and July 2012.

ASIC Releases Further Report On Emerging Market Issuers

Date 06/04/2017

ASIC published Report 521 Further review of emerging market issuers (REP 521) today, which discusses ASIC’s views on emerging market issuer activity and highlights how ASIC has responded to the key challenges identified in Report 368, some of which we continue to see in our market.
CalPERS: Réal Desrochers Leaving Private Equity Program - Investment Director Sarah Corr To Take Over As Interim Head

Date 05/04/2017

The California Public Employees' Retirement System (CalPERS) said today that Réal Desrochers, managing investment director of the CalPERS Private Equity program, is leaving the pension fund to take a position with a large overseas bank.
SEC Adopts Jobs Act Amendments To Help Entrepreneurs And Investors

Date 05/04/2017

The Securities and Exchange Commission today announced that it has adopted amendments to increase the amount of money companies can raise through crowdfunding to adjust for inflation. It also approved amendments that adjust for inflation a threshold used to determine eligibility for benefits offered to “emerging growth companies” (EGCs) under the Jumpstart Our Business Startups (JOBS) Act.
BGC Partners' First Quarter 2017 Financial Results Announcement To Be Issued Prior To Market Open On Thursday, May 4, 2017 - Conference Call Scheduled For The Same Day At 10:00 A.M. ET

Date 05/04/2017

BGC Partners, Inc. (NASDAQ: BGCP) ("BGC Partners" , "BGC", or the "Company"), a leading global brokerage company servicing the financial and real estate markets, today announced that it plans to issue an advisory press release regarding the availability of its consolidated quarterly financial results by 8:00 a.m. ET on Thursday, May 4, 2017.
Remarks At The Meeting Of The Equity Market Structure Advisory Committee, SEC Commissioner Kara M. Stein, April 5, 2017

Date 05/04/2017

Good morning and welcome to this meeting of the Equity Market Structure Advisory Committee. Today’s agenda covers recommendations that have come from the hard work of two of the Advisory Committee’s subcommittees.