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STOXX Limited Wins European Pensions Award

Date 20/07/2016

STOXX Ltd., the operator of Deutsche Boerse Group’s index business, and a global provider of innovative and tradable index concepts, today announced that it has won the European Pensions award under the category Index Provider of the Year. The award was presented at a ceremony recently held in London.
SGX Welcomes Procurri To Mainboard

Date 20/07/2016

Singapore Exchange (SGX) today welcomed Procurri Corporation Limited (“Procurri”) to its Mainboard under the stock code “BVQ”.
Dalian Commodity Exchange Takes Regulatory Measure On Client

Date 20/07/2016

Recently, a client surnamed Cui conducted self-trade on the relevant contracts of the soybean meal futures for the third time, reaching the regulatory criteria of DCE. Based on the relevant requirements in the “Related Regulatory Criteria and Processing Procedure in the ‘Measures of Dalian Commodity Exchange for Management of Unusual Transactions (for Trial Implementation)’”, it is decided to take the regulatory measure of banning the client from taking positions on relevant contracts for one month.
Readout From A Treasury Spokesperson On Today’s Cybersecurity Meeting Of The Financial And Banking Information Infrastructure Committee (FBIIC)

Date 20/07/2016

Today, Deputy Secretary Sarah Bloom Raskin hosted top officials of the Financial and Banking Information Infrastructure Committee (FBIIC) to discuss cybersecurity policy issues in the financial sector. The Treasury Department chairs this Committee, which coordinates critical infrastructure matters in the financial sector.
Alberta Securities Commission Alleges Jonathan Financial Inc. And Gregory Frederick Hilderman Breached Alberta Securities Laws

Date 19/07/2016

Alberta Securities Commission (ASC) staff have issued a Notice of Hearing against Jonathan Financial Inc. and Gregory Frederick Hilderman in connection with the sale of Jonathan Financial debentures.

Pico Taps Corvil To Build All-New Trading Platform For European Markets

Date 19/07/2016

Pico, a group of affiliated managed services providers of multi-asset electronic trading technologies, today announced an expansion of its relationship with Corvil as part of Pico's continued growth in European markets.
Federal Reserve Board Prohibits Former Foreign Exchange (FX) Trader From Participating In Banking Industry For His Manipulation Of FX Pricing Benchmarks

Date 19/07/2016

The Federal Reserve Board on Tuesday announced it is prohibiting a former foreign exchange (FX) trader from participating in the banking industry for his manipulation of FX pricing benchmarks.
FINRA Fines Prudential Annuities Distributors, Inc. $950,000 For Failing To Prevent Theft Of $1.3 Million From Elderly Customer’s Variable Annuity Account

Date 19/07/2016

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Prudential Annuities Distributors, Inc. $950,000 for failing to detect and prevent a scheme that resulted in the theft of approximately $1.3 million from an 89-year-old customer’s variable annuity account. The firm repeatedly failed to adequately investigate “red flags” that Travis A. Wetzel, a former registered sales assistant at LPL Financial and since-convicted felon, was transferring money from the customer’s Prudential variable annuity account to a third-party bank account in his wife’s maiden name. FINRA previously barred Wetzel in May 2013. Prudential Annuities and LPL reimbursed the customer in 2013.
SIFMA Statement On The EU-US Joint Financial Regulatory Forum Announcement

Date 19/07/2016

SIFMA today issued the following statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO on the announcement made by the EU-US Joint Financial Regulatory Forum (“the Forum”) Agreement:

“SIFMA welcomes this initiative as we believe more needs to be done to enhance coordination, facilitate cross border investment and strengthen economic growth. Our members stand ready to engage constructively with the new process. We also note that the European Commission believes that this initiative is without prejudice to the Transatlantic Trade and Investment Partnership (TTIP). SIFMA continues to believe the TTIP represents the best opportunity to host these dialogues on a regularly scheduled basis, to address regulatory issues and divergences early, while also bringing the needed transparency and accountability that other mechanisms lack”.
ESMA Publishes Updated UCITS Q&A

Date 19/07/2016

The European Securities and Markets Authority (ESMA) has published an updated questions and answers document (Q&A) on the application of the Undertakings for the Collective Investment in Transferable Securities Directive (UCITS).