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BSI To Develop Financial Services Compliance Standard

Date 26/10/2009

BSI, the UK’s national standards body, has brought together key stakeholders from the UK financial services sector to develop a standard for compliance teams. The standard will set out a common methodology, process and good practice which can be adopted by compliance teams in retail and wholesale financial firms.
FINRA: Scottrade Fined $600,000 For Inadequate Anti-Money Laundering Program - Firm Failed To Adequately Monitor For Suspicious Transactions

Date 26/10/2009

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Scottrade $600,000 for failing to establish and implement an adequate anti-money laundering (AML) program to detect and trigger reporting of suspicious transactions, as required by the Bank Secrecy Act and FINRA rules.
October 2009 - Monthly Preliminary Performance Report Dow Jones-UBS Commodity Indexes

Date 26/10/2009

The Dow Jones-UBS Commodity Index was up 7.55% for the month of October. The Dow Jones-UBS Single Commodity Indexes for Wheat, Corn and Unleaded Gas had the strongest gains with month-to-date returns of 19.73%, 15.62%, and 15.58%, respectively. Sugar and Natural Gas posted the most significant downside performing single commodity indexes, down -8.94%, -2.90% respectively, in October.
CFTC’s Agricultural Advisory Committee To Meet October 29, 2009 - Committee To Discuss Convergence In Agricultural Commodity Markets

Date 26/10/2009

The Commodity Futures Trading Commission (CFTC) will convene a meeting of its Agricultural Advisory Committee (AAC) on Thursday, October 29, 2009, to obtain the views of agricultural futures market experts, national farm organizations, major commodity and agribusiness groups and the farm banking community. The major topic for discussion will be the issue of convergence as it relates to the Chicago Board of Trade’s (CBOT) Wheat futures contract.
UK's Financial Services Authority: Lehman-Backed Structured Products - Update

Date 26/10/2009

Arc Capital and Income plc (ACI) has today announced that it is going into administration. The firm focused on delivering structured investment products to retail investors, including Lehman-backed structured products.

Keynote Address By Mr Heng Swee Keat, Managing Director, Monetary Authority Of Singapore At The Paris EUROPLACE International Financial Forum The Next Stage: Policy Challenges in Asia.

Date 26/10/2009

Good morning 1. It gives me great pleasure to join you today at this Paris Europlace International Financial Forum. Let me warmly welcome Governor Noyer and our overseas visitors to Singapore, and welcome Mr Bresson and your team for holding this Forum in Singapore.
Financial Services: European Commission Adopts Additional Legislative Proposals To Strengthen Financial Supervision In Europe

Date 26/10/2009

The European Commission has adopted additional legislative proposals today to further strengthen financial supervision in Europe. Following the adoption of a legislative package to strengthen financial supervision in Europe on 23 September 2009, including the creation of a European System of Financial Supervisors with three new European Supervisory Authorities, the Commission proposes to make targeted changes to existing financial services legislation to ens
‘ASX Small To Mid Caps’ Hong Kong Event

Date 26/10/2009

The Australian Securities Exchange (ASX), in association with global investment banks, brokers and industry associations, is holding an event to showcase some of Australia’s leading small and mid-cap companies to investment managers in Hong Kong on 29 and 30 October 2009.
JonesTrading Announces Geyer Departure

Date 26/10/2009

JonesTrading Institutional Services LLC, a leading agency brokerage firm, announced today that Will Geyer, President and CEO left the firm on October 15, 2009, to pursue other professional opportunities. Packy Jones, Chairman of JonesTrading will assume the responsibilities of President and CEO. There are no other changes to the company’s management.
UK’s Financial Services Authority Announces Tough New Code For Financial Reporting Disclosure

Date 26/10/2009

The Financial Services Authority (FSA) has announced today that the major UK-headquartered banks have agreed to implement a tough new code for financial reporting disclosure.