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FINRA Fines Scottrade $2.6 Million For Significant Failures In Required Electronic Records And Email Retention

Date 16/11/2015

The Financial Industry Regulatory Authority (FINRA) announced today that it fined Scottrade, Inc. $2.6 million for failing to retain a large number of securities-related electronic records in the required format, and for failing to retain certain categories of outgoing emails. Scottrade also did not have a reasonable supervisory system in place to achieve compliance with certain Securities and Exchange Commission (SEC) and FINRA books and records rules, which contributed to its record-retention failures.
Electronic Payment Services: European Council Of The European Union Adopts Updated Rules

Date 16/11/2015

A directive aimed at further developing an EU-wide market for electronic payments was adopted by the Council on 16 November 2015.
CFTC Charges IB Capital FX, LLC, Michel Geurkink, And Emad Echadi With Soliciting At Least $50 Million From Members Of The Public For Forex Trading, Without Being Registered With The CFTC

Date 16/11/2015

The U.S. Commodity Futures Trading Commission (CFTC) filed a civil enforcement Complaint charging Defendants IB Capital FX, LLC (a/k/a IB Capital FX [NZ] LLP) d/b/a IB Capital (IB Capital), Michel Geurkink, and Emad Echadi, individually and as the agents of IB Capital, with soliciting and accepting at least $50 million from at least 960 clients worldwide, including at least 697 clients in the United States, for off-exchange margined retail foreign currency (forex) trading, without being registered with the CFTC, as required.
1st Annual CBOE Risk Management Conference Asia 2015 - Hong Kong Site Of Forum For Options, Equity Derivatives, Volatility Traders, November 30 – December 1

Date 16/11/2015

The Chicago Board Options Exchange® (CBOE®) and CBOE Futures Exchange (CFE®) will for the first time hold a CBOE Risk Management Conference (RMC) in Asia, on Monday, November 30 and Tuesday, December 1, 2015, at the JW Marriott Hotel in Hong Kong.
Shadow Banking: European Council Of The European Union Adopts Transparency Rules On Securities Financing Transactions

Date 16/11/2015

A regulation that will improve the transparency of securities lending and repurchase transactions was adopted by the Council on 16 November 2015.

Oman’s Ministry Of Oil And Gas Signs Up For “DME Auctions”

Date 16/11/2015

The Dubai Mercantile Exchange (DME) announced today that Oman’s Ministry of Oil and Gas has become the first customer of its recently launched “DME Auctions” platform. The news is a significant show of support for the first spot commodity auction system in the Middle East.
SEC: Mutual Fund Adviser Advertised False Performance Claims

Date 16/11/2015

The Securities and Exchange Commission today announced that a Hartford, Conn.-based investment management firm agreed to pay $16.5 million to settle charges that it misled mutual fund investors and others with advertisements containing false historical performance data about AlphaSector, a major exchange-traded fund (ETF) portfolio strategy.
MGEX Sets Pair Of Top 10 Daily Volume Records

Date 16/11/2015

MGEX, a Designated Contract Market (DCM) and Derivatives Clearing Organization (DCO), reports a pair of top 10 daily volume records from Friday, as total volume reached 19,892 while electronic volume finished the day at 19,185.
TMX Group To Introduce A New Mutual Funds Platform - TSX NAVex To Offer Transacting, Clearing And Settlement Services For Mutual Funds

Date 16/11/2015

TMX Group today announced that it is expanding its services into a new business area that will extend the efficiencies of equities trading and settlement to the mutual fund industry. The TSX NAVex Platform will facilitate purchases and redemptions of mutual funds using TMX's proven equities trading, clearing and settlement infrastructure.
Tim Cartledge To Join EBS BrokerTec As Chief Strategy Officer - Joins As Member Of EBS BrokerTec Executive Management Team And ICAP Global Executive Management Group

Date 16/11/2015

EBS BrokerTec, ICAP's market-leading electronic foreign exchange (FX) and fixed income business, announces today that Tim Cartledge has been appointed Chief Strategy Officer, effective immediately. Tim will report to Gil Mandelzis, CEO and join both the EBS BrokerTec Executive Management Team and the ICAP Global Executive Management Group. Tim will be based in London.