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FINRA Fines Raymond James $17 Million For Systemic Anti-Money Laundering Compliance Failures - Former AML Compliance Officer Fined And Suspended

Date 18/05/2016

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Raymond James & Associates, Inc. (RJA) and Raymond James Financial Services, Inc. (RJFS), a total of $17 million for widespread failures related to the firms’ anti-money laundering (AML) programs. RJA was fined $8 million and RJFS was fined $9 million for failing to establish and implement adequate AML procedures, which resulted in the firms’ failure to properly prevent or detect, investigate, and report suspicious activity for several years. RJA’s former AML Compliance Officer, Linda L. Busby, was also fined $25,000 and suspended for three months.
Toronto Stock Exchange, TSX Venture Exchange, Montréal Exchange And TSX Alpha Exchange Closed For Victoria Day

Date 18/05/2016

Toronto Stock Exchange, TSX Venture Exchange, Montréal Exchange and TSX Alpha Exchange will be closed on Monday, May 23, 2016 for the Victoria Day holiday. NGX will remain open for regular trading.
Moscow Exchange: The Additional Trading Session Starts Later For Derivatives On 25 May

Date 18/05/2016

Please note that the Derivatives Market evening trading session will begin five minutes later, i.e. at 7:05 pm MSK, on 25 May 2016, as these are the last trading days for options contracts (in accordance with clause 7.2 of the Rules of organized trading for the Moscow Exchange Derivatives Market).
Axioma Promotes Ian Webster To Chief Operating Officer - Newly Created Position Focuses On Managing And Coordinating Axioma’s Accelerating Global Growth

Date 18/05/2016

Axioma, a provider of innovative risk and portfolio management solutions, today announced the appointment of Ian Webster as Chief Operating Officer, a newly created position. Webster was previously Chief of Staff since January 2016. He joined Axioma as Managing Director, EMEA in 2011, and also led the development of Axioma’s global indexing business.
Organizational Alignment Of SIX Financial Information France SA

Date 18/05/2016

SIX Financial Information France SA announces an integration plan to fully align the unit with the global functional structures of SIX by the end of this year, as well as other strategic measures. This will allow SIX to strengthen the French organization and to increase its competitiveness. If the integration plan is approved by the French labor authorities, the integration will lead to a staff reduction in France accompanied by a social plan.

MARF Admits To Trading An Issue By Globasol - New Project Bond Issue

Date 18/05/2016

The Mercado Alternativo de Renta Fija (MARF) has registered a €45.3 million project bond issued by Globasol Villanueva 1 (Grupo Solaria) to cancel the debt associated with the existing project finance operation and refinance it, thus extending its maturity to 2037.
Thai Bourse Initiates Two New Awards For “SET Awards 2016”

Date 18/05/2016

The Stock Exchange of Thailand (SET) has joined Money & Banking magazine to organize the 13th SET Awards, initiating two new awards: the Best Innovative Company Awards and the Young Rising Star CEO Award, while adjusting award criteria to meet the current competitive nature of the business world, and announcing list of qualified firms after preliminary screening to compete for awards by year end.
Cordium And Knadel Announce A Strategic Alliance

Date 18/05/2016

Cordium, the market-leading provider of governance, risk and compliance services, and Knadel, a specialist management consultancy, have formed a strategic alliance in the UK which will harness the skills and experience of both firms to provide best of breed regulatory, business and technology consulting services to the investments industry.
Dubai Financial Market: Trading Of Ajman Bank Rights Issue Between 22 May And 5 June 2016

Date 18/05/2016

Dubai Financial Market (DFM) today announced that the rights issue of “Ajman Bank” is due to be tradable on the exchange between Sunday, 22 May 2016 until 5 June 2016. Trading of the rights issue enables existing shareholders of the company who do not wish to subscribe to the new shares, which the company plans to issue as part of its capital increase, to sell all or part of their rights to other investors who do wish to subscribe. The rights issue is a financial instrument representing the rights that are legally granted to the company's shareholders to have priority in subscribing for the company's capital increase shares that will be issued.
Liquidnet Expands Team With Appointment Of German Sales Director - Industry Veteran To Increase Push Into Continental Europe And German-Speaking Regions

Date 18/05/2016

Liquidnet, the global institutional trading network, today announced that Dirk Griesmeyer has joined the company as Sales Director covering German institutions. Dirk brings over thirty years of industry experience to this role and will be responsible for expanding Liquidnet’s drive to increase its membership in continental Europe and the German-speaking regions.