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Broadridge Expands EMEA Team To Support Global Financial Institutions - Kimberly Jewell, Mike Thrower And Peter Morris Join Broadridge's London Office

Date 21/10/2015

Broadridge Financial Solutions, Inc. (NYSE: BR) has hired three senior executives to its London office to expand the firm's support for global financial institutions in key market-centers internationally. The executives – Kimberly Jewell, Mike Thrower and Peter Morris – bring decades of experience in banking and brokerage operations, client relationship management, sales and technology.
ASIC: National Australia Bank To Implement A Large Scale Financial Advice Remediation Program

Date 21/10/2015

From today, National Australia Bank (NAB) will be contacting customers who may have received non-compliant advice since 2009. Affected clients will have their files reviewed to determine if compensation should be paid.
A First For The Region As The 55th Annual Meeting Of World Federation Of Exchanges Launches In Doha

Date 21/10/2015

His Excellency Sheikh Ahmed bin Jassim bin Mohammed Al Thani, Minister of Economy and Commerce and Chairman of the Qatar Stock Exchange, inaugurated the 55th Annual Meeting of the World Federation of Exchanges.
ETFs And ETPs Listed In Japan Have Gathered A Record 36.4 Billion US Dollars In Net New Assets As Of The End Of Q3 2015, According To ETFGI

Date 21/10/2015

ETFs and ETPs listed in the Japan have gathered a record 36.4 billion US dollars in net new assets as of the end of Q3 2015. Although September was another roller coaster ride for investors they allocated US$7.5 billion in net new assets to ETFs/ETPs listed in Japan during the month, according to ETFGI’s Japanese ETF and ETP insights report for September 2015.
Remarks By Acting Assistant US Treasury Secretary Seth Carpenter At A Conference On The Evolving Structure Of The U.S. Treasury Market

Date 21/10/2015

Thank you, everyone, for joining us today. It is a pleasure to have such a distinguished group here with such a vast amount of experience. At the Treasury Department, we live and breathe Treasury markets, so it’s a nice change of pace to hear how other policy makers, market participants, and academics are thinking about these themes. Before I go on, I want to thank President Dudley and the Federal Reserve Bank of New York for hosting all of us.

Decryptex Financial Laboratories Switches To MIK’s Security Master

Date 21/10/2015

Decryptex, the leading provider of scientific searches for capital markets trading surveillance, announced its selection of and partnership with MIK Fund Solutions for its security master. Decryptex employs advanced algorithms and big data to enable capital market professionals to uncover anomalous trading activity, and a robust security master is a critical piece of its offering.
Alan James Watson, Cash Flow Financial LLC, And Michael S. Potts Ordered To Pay More Than $91.9 Million In Final Disposition Of Commodity Pool Ponzi Scheme Case - In A Related Criminal Action, Watson Pleaded Guilty To Wire Fraud And Was Sentenced To 12 Years Imprisonment

Date 20/10/2015

The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Mark A. Goldsmith of the U.S. District Court for the Eastern District of Michigan entered an Order requiring Defendant Alan James Watson of Clinton Township, Michigan, to pay $37,224,928.82 in restitution and a $27 million civil monetary penalty, plus interest on both amounts, for his role in operating a commodity pool Ponzi scheme.
Remarks By Acting Assistant US Treasury Secretary Seth Carpenter At A Conference On The Evolving Structure Of The U.S. Treasury Market

Date 20/10/2015

Thank you, everyone, for joining us today. It is a pleasure to have such a distinguished group here with such a vast amount of experience. At the Treasury Department, we live and breathe Treasury markets, so it’s a nice change of pace to hear how other policy makers, market participants, and academics are thinking about these themes. Before I go on, I want to thank President Dudley and the Federal Reserve Bank of New York for hosting all of us.
Investor Alert: Canadian Securities Regulators Issue Warning About Messaging Applications Being Used To Entice Investors

Date 20/10/2015

The securities regulatory authorities in Alberta, British Columbia, Manitoba, New Brunswick, Newfoundland, Nova Scotia, Ontario, Quebec, and Saskatchewan are warning the public about fraudulent stock promotions that use popular smart phone messaging applications like WhatsApp to generate investor interest.
New York State Department of Financial Services Announces Crédit Agricole To Pay $787 Million, Install Independent Consultant, Terminate Employee For Transactions On Behalf Of Sudan, Iran, Other Sanctioned Entities

Date 20/10/2015

Anthony J. Albanese, Acting Superintendent of Financial Services for the State of New York, announced today that Crédit Agricole will pay $787 million and install an independent consultant for New York Banking Law violations in connection with transactions between 2003 and 2008 on behalf of countries and entities subject to U.S. sanctions, including Sudan, Iran, Myanmar, and Cuba. Additionally, while the vast majority of employees who were centrally involved in this misconduct no longer work at the Bank, Crédit Agricole will take action to terminate an additional Managing Director involved in the scheme who currently remains employed at the Bank.