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SIFMA's Ken Bentsen Delivers Opening Remarks At Private-Client Conference

Date 07/04/2016

SIFMA president and CEO Kenneth E. Bentsen, Jr., delivers opening remarks at SIFMA's Private Client Conference at the Grand Hyatt in New York City, focusing on the need for regulatory balance and SIFMA's priorities, including the Department of Labor's fiduciary rule, senior investors, and cybersecurity.
Canadian Securities Regulators Publish Amendments To Order Protection Rule

Date 07/04/2016

The Canadian Securities Administrators (CSA) today published final amendments to National Instrument 23-101 Trading Rules and its companion policy. The amendments adjust the order protection rule (OPR) framework to address inefficiencies and respond to market developments.
TMX Group Equity Financing Statistics – March 2016

Date 07/04/2016

TMX Group today announced its financing activity on Toronto Stock Exchange and TSX Venture Exchange for March 2016.
U.S. Department Of The Treasury: Remarks Of Under Secretary Nathan Sheets At The Carnegie Endowment For International Peace

Date 07/04/2016

I would like to thank the Carnegie Endowment for International Peace for hosting me today. Your upcoming launch of “Carnegie India” in New Delhi reflects another important step in what I see as a deepening of relationships between Indian and American opinion leaders, our business communities, and our respective official sectors. The ever-increasing interest and engagement between India and the United States, and the stakes that both sides have in facilitating that relationship, is one of the main themes that I will cover in my remarks today.
Neurensic Appoints Dr. Cliff Click As Chief Technology Officer, Announces New Innovation Lab

Date 07/04/2016

Neurensic, an artificial intelligence technology startup focused on softwareasaservice solutions for the financial services industry, today announced that Dr. Cliff Click has been named Chief Technology Officer. Dr. Click joins Neurensic from H2O.ai, where he was CTO and cofounder.

ESMA Publishes Responses To The Consultation On Guidelines On Transaction Reporting, Reference Data, Order Record Keeping & Clock Synchronisation

Date 07/04/2016

The European Securities and Markets Authority (ESMA) has published the responses received to the Consultation on Guidelines on transaction reporting, reference data, order record keeping & clock synchronisation.
UK's Financial Conduct Authority - TR16/3: Meeting Investors’ Expectations

Date 07/04/2016

We are reporting the findings of our thematic review that considered how firms ensure they manage funds and segregated mandates as they say they will. We also considered how firms monitor the appropriate distribution of their funds.
Nasdaq Holds First Quarter 2016 Investor Conference Call

Date 07/04/2016

Nasdaq (NASDAQ:NDAQ) has scheduled its First Quarter 2016 results announcement.
Comptroller Of The Currency Discusses Innovation During Retail Banking Conference

Date 07/04/2016

Comptroller of the Currency Thomas J. Curry today discussed innovation and its impact on retail banking during an appearance at the American Banker Retail Banking Conference. During his remarks, the Comptroller also added detail to the agency’s principles for implementing a framework for identifying, understanding, and evaluating financial service innovation affecting the federal banking system.
SEC: Las Vegas Sands Paying Penalty For FCPA Violations

Date 07/04/2016

The Securities and Exchange Commission today announced that Las Vegas Sands Corp. has agreed to pay a $9 million penalty to settle charges that it violated the Foreign Corrupt Practices Act (FCPA) by failing to properly authorize or document millions of dollars in payments to a consultant facilitating business activities in China and Macao.