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News Centre
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Clearstream Creates Fund Centre After Completing Acquisition Of Majority Stake In Fondcenter AG From UBS
Date 01/10/2020
- Clearstream closes transaction acquiring majority stake in Fondcenter AG from UBS
- Newly combined fund distribution support business Clearstream Fund Centre has over USD 290 billion assets under administration
- UBS enters into long-term commercial cooperation agreements for the provision of services by Clearstream Fund Centre
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BMLL Hires Two Sales Directors In Response To Growing Demand For Their Data And Analytics Offering - Neil Mackenzie Joins From SocGen - Phiona Tam Joins From Liquidnet
Date 01/10/2020
BMLL Technologies, the award-winning data and analytics provider, today announced two appointments to its growing team. Neil Mackenzie and Phiona Tam have joined BMLL as sales directors in response to increasing demand for BMLL’s historic data and analytics offering and to support the firm’s Go-to-Market strategy.
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Cappitech Awarded “RegTech Platform Platinum” Winner In Future Digital Awards
Date 01/10/2020
Cappitech, a leading provider of regulatory reporting, best execution analysis and business intelligence solutions for the financial services industry, has been announced as the “RegTech Platform Platinum” winner in the Juniper Research Future Digital Awards for Fintech and Payments.
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Hardware Malfunction Causes Worst-Ever Outage On Tokyo Stock Exchange
Date 01/10/2020
A hardware breakdown on the Tokyo Stock Exchange halted trading for the entire trading day in the worst-ever outage for the exchange.
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New Zealand Council Of Financial Regulators: Updated Timetable Of Regulatory Initiatives
Date 01/10/2020
In April 2020, the Council of Financial Regulators published a table of deferred regulatory initiatives due to COVID-19. This has now been updated to guide financial services businesses on future initiatives.
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Guidance On The Conduct Of General Meetings Amid Evolving COVID-19 Situation - Joint Statement By Accounting And Corporate Regulatory Authority, Monetary Authority Of Singapore And Singapore Exchange Regulation
Date 01/10/2020
The Accounting and Corporate Regulatory Authority (“ACRA”), the Monetary Authority of Singapore (“MAS”) and Singapore Exchange Regulation (“SGX RegCo”) have updated a checklist to guide listed and non-listed entities[1] on the conduct of general meetings (“Checklist”) arising from the latest updates from the Multi-Ministry Taskforce to ease safe management measures to facilitate business operations.
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New Zealand Financial Markets Authority: Contributions Help KiwiSaver Continue To Grow Through COVID-19
Date 01/10/2020
KiwiSaver has continued to grow despite market volatility and economic uncertainty caused by COVID-19 , according to the Financial Markets Authority’s (FMA) KiwiSaver Annual Report for the year ended March 2020.
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ASIC And Reserve Bank Of Australia Announce Expectations For CHESS Replacement
Date 01/10/2020
ASIC and the Reserve Bank of Australia (RBA) (the regulators) have outlined their expectations of ASX as it replaces the Clearing House Electronic Sub-register System (CHESS). This follows the release today of the RBA’s 2020 Assessment of ASX Clearing and Settlement Facilities.
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CFTC Orders Morgan Stanley Capital Services LLC To Pay $5 Million For Swap Data Reporting Failures
Date 30/09/2020
The Commodity Futures Trading Commission today announced that it has filed and settled charges against Morgan Stanley Capital Services LLC, a provisionally registered swap dealer, for failing to comply with swap data reporting obligations.
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CFTC Orders Chicago Broker To Pay Over $495,000 For Supervision Failures And Failure To Report Suspicious Activity
Date 30/09/2020
The Commodity Futures Trading Commission today issued an order filing and simultaneously settling charges against A&A Trading, Inc., a registered introducing broker located in Chicago, Illinois, for failing to file a suspicious activity report (SAR) and to diligently supervise its employees’ handling of certain customer accounts. The order requires A&A Trading to pay a civil monetary penalty of $400,000 and to disgorge $95,329 earned in connection with its violations. This action was brought in connection with the Division of Enforcement’s Bank Secrecy Act Task Force.
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